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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 1401 H STREET, NW |
Address2 | SUITE 1200 |
| City | WASHINGTON |
State | DC |
Zip Code | 20005 |
Country | USA |
3. Principal place of business (if different than line 2)
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Zip Code | |
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5. Senate ID# 20128-12
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6. House ID# 311170000
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| TYPE OF REPORT | 8. Year | 2009 |
Q1 (1/1 - 3/31) | Q2 (4/1 - 6/30) | Q3 (7/1 - 9/30) | Q4 (10/1 - 12/31) |
9. Check if this filing amends a previously filed version of this report
| 10. Check if this is a Termination Report | Termination Date | |
11. No Lobbying Issue Activity |
| INCOME OR EXPENSES - YOU MUST complete either Line 12 or Line 13 | |||||||||
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| 12. Lobbying | 13. Organizations | ||||||||
| INCOME relating to lobbying activities for this reporting period was: | EXPENSE relating to lobbying activities for this reporting period were: | ||||||||
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| Provide a good faith estimate, rounded to the nearest $10,000, of all lobbying related income for the client (including all payments to the registrant by any other entity for lobbying activities on behalf of the client). | 14. REPORTING Check box to indicate expense accounting method. See instructions for description of options. | ||||||||
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Method A.
Reporting amounts using LDA definitions only
Method B. Reporting amounts under section 6033(b)(8) of the Internal Revenue Code Method C. Reporting amounts under section 162(e) of the Internal Revenue Code |
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| Signature | Digitally Signed By: Dean R. Sackett III, Government Affairs Officer |
Date | 01/20/2010 |
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code FIN
16. Specific lobbying issues
S. 139 Data Breach Notification Act
S. 272 Derivatives Trading Integrity Act of 2009
S. 1073Rating Accountability and Transparency Enhancement Act of 2009 (credit rating agencies)
S. 1074Shareholder Bill of Rights Act of 2009 (proxy access)
S. 1276Private Fund Transparency Act of 2009 (investment adviser registration)
S. 1389Fixed Indexed Annuities and Insurance Products Classification Act of 2009
S. 1490Personal Data Privacy and Security Act of 2009
S. 1691Comprehensive Derivates Regulation Act of 2009
S. 1964Mutual Fund Transparency Act of 2009
S. 2799Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2009
Restoring American Financial Stability Act of 2009 (Discussion Draft)
H.R. 786Make Permanent the Increase in Deposit Insurance Coverage
H.R. 977Derivatives Markets Transparency and Accountability Act of 2009
H.R. 1160Money Market Fund Parity Act of 2009
H.R. 1181NRSRO Ratings for Asset Backed Securities
H.R. 1327Iran Sanctions Enabling Act of 2009 (divestiture)
H.R. 1669Federal Municipal Bond Marketing Support and Securitization Act of 2009
H.R. 2221Data Accountability and Trust Act (notice of breach)
H.R. 2733Fixed Indexed Annuities and Insurance Products Classification Act of 2009
H.R. 2861Shareholder Empowerment Act of 2009 (proxy access)
H.R. 3126Consumer Financial Protection Agency Act of 2009
H.R. 3269Corporate and Financial Institution Compensation Fairness Act of 2009 (say on pay)
H.R. 3795Over-the-Counter Derivatives Markets Act of 2009
H.R. 3817Investor Protection Act of 2009 (Point of Sale Disclosure, Fiduciary Duty)
H.R. 3818Private Fund Investment Advisers Registration Act of 2009
H.R. 3890Accountability and Transparency in Rating Agencies Act
H.R. 3996Financial Stability Improvement Act of 2009 (Systemic Risk Regulator)
H.R. 4173Wall Street Reform and Consumer Protection Act of 2009
Money Market Mutual Fund Regulation
Municipal Bonds (Frank)
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Peter J. |
Gunas |
III |
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Donald C. |
Auerbach |
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Mara Lynn |
Shreck |
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Frances |
Stadler |
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Dean R. |
Sackett |
III |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code RET
16. Specific lobbying issues
S. 401 Defined Contribution Fee Disclosure Act of 2009
S. 2832Lifetime Income Disclosure Act
Target Date Funds (Kohl)
H.R. 2779Defined Contribution Plan Fee Transparency Act of 2009
H.R. 2989401(k) Fair Disclosure and Pension Security Act of 2009
H.R. 4146Sensible Transparency for Retirement Plans Act of 2009
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Peter J. |
Gunas |
III |
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James R. |
Hart |
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Michael L. |
Hadley |
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Donald C. |
Auerbach |
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Dean R. |
Sackett |
III |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.
15. General issue area code TAX
16. Specific lobbying issues
S. 1082 GROWTH ACT
S. 1297Retirement Security for Life Act of 2009 (annuities)
S. 1934Foreign Account Tax Compliance Act of 2009
H.R. 2748Retirement Security Needs Lifetime Pay Act of 2009 (annuities)
H.R. 3429GROWTH Act
H.R. 3933Foreign Account Tax Compliance Act of 2009
H.R. 4126Retirement Fairness Act of 2009 (retirement plan nondiscrimination)
H.R. 4191Let Wall Street Pay for the Restoration of Main Street Act (securities transaction tax)
H.R. 4213Tax Extenders Act of 2009 (flow-through)
H.R. 4337Regulated Investment Company Modernization Act of 2009
Automatic Payroll Deduction IRA
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of
18. Name of each individual who acted as a lobbyist in this issue area
| First Name | Last Name | Suffix | Covered Official Position (if applicable) | New |
Peter J. |
Gunas |
III |
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James R. |
Hart |
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Michael L. |
Hadley |
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Keith |
Lawson |
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Karen |
Gibian |
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Donald C. |
Auerbach |
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Dean R. |
Sackett |
III |
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19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None
Information Update Page - Complete ONLY where registration information has changed.
20. Client new address
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21. Client new principal place of business (if different than line 20)
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22. New General description of client’s business or activities
LOBBYIST UPDATE
23. Name of each previously reported individual who is no longer expected to act as a lobbyist for the client
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ISSUE UPDATE
24. General lobbying issue that no longer pertains
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AFFILIATED ORGANIZATIONS
25. Add the following affiliated organization(s)
Internet Address:
| Name | Address |
Principal Place of Business (city and state or country) |
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26. Name of each previously reported organization that is no longer affiliated with the registrant or client
| 1 | 2 | 3 |
FOREIGN ENTITIES
27. Add the following foreign entities:
| Name | Address |
Principal place of business (city and state or country) |
Amount of contribution for lobbying activities | Ownership percentage in client | ||||||||||
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28. Name of each previously reported foreign entity that no longer owns, or controls, or is affiliated with the registrant, client or affiliated organization
| 1 | 3 | 5 |
| 2 | 4 | 6 |