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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 1295 STATE STREET |
Address2 | |
| City | SPRINGFIELD |
State | MA |
Zip Code | 01111-0001 |
Country | USA |
3. Principal place of business (if different than line 2)
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State | |
Zip Code | |
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5. Senate ID# 23986-12
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6. House ID# 319680000
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| TYPE OF REPORT | 8. Year | 2010 |
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: Kenneth S. Cohen, Sr. Vice President & Deputy General Counsel |
Date | 10/20/2010 |
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 INS
16. Specific lobbying issues
See Addendum
H.R. 4173, "The Dodd-Frank Wall Street Reform & Consumer Protection Act" - became Public Law No. 111-203, insurance provisions.
H.R. 5993, "Savings Act of 2010", relating to retained asset accounts.
GAO, "Life Insurance Settlements: Regulatory Inconsistencies May Pose a Number of Challenges", Government Accountability Office Report, No. GAO-10-775.
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 |
Kenneth |
Cohen |
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Alison |
Weiss |
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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 HCR
16. Specific lobbying issues
Regulatory implementation of the "Patient Protection & Affordable Care Act (PPACA)".
17. House(s) of Congress and Federal agencies Check if None
Labor - Dept of (DOL), Health & Human Services - Dept of (HHS), 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 |
Kenneth |
Cohen |
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Steven |
Pfrang |
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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
See Addendum.
S. 2832, "Lifetime Income Disclosure Act".
S. 3793, "Job Creation & Tax Cuts Act of 2010", Title II, relating to technical corrections to pension funding legislation.
S. 7360, "Automatic IRA Act of 2010".
H.R. 1961, "Saving for American Families' Future Act of 2009".
H.R. 3962, "Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act of 2010" - became P.L. No. 111-192.
H.R. 4742, "Small Businesses Add Value for Employees Act of 2009".
H.R. 5297, "Small Business Jobs Act of 2010", sections 211-213, relating to partial annuitization and in-plan Roth conversions.
H.R. 6099, "Automatic IRA Act of 2010".
IRS Notice 2010-55, 2010-33 IRB, "Election of an Alternative Amortization Schedule under the Pension Relief Act of 2010".
Department of Labor, Interim Final Regulation under Section 408(b)(2) of ERISA, (7/15/10).
Treasury Department Explanation of the Administration's FY-2010 Budget proposals related to expansion of the 'Saver's Credit' and to the creation of 'Auto IRAs'. General Explanations of the Administrations FY-2010 Revenue proposals, Department of Treasury (May 2009) "Greenbook" - No Bill Number.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Labor - Dept of (DOL), 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 |
Kenneth |
Cohen |
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Camille |
Donald |
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Steven |
Pfrang |
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Alison |
Weiss |
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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 FIN
16. Specific lobbying issues
See Addendum.
H.R. 4173, "The Dodd-Frank Wall Street Reform & Consumer Protection Act" - became Public Law No. 111-203.
President Obama Administration's proposal: "Financial Crisis Responsibility Fee" - No Bill Number.
SEC proposed rule on "Mutual Fund Distribution Fees" - [Release Nos. 33-9128; 34-62544; IC-29367; fiel No. 57-15-10] (7/21/10).
SEC study re. "Obligations of Brokers, Dealers and Investment Advisors" - [Release No. 34-62577; IA-3058; File No. 4-606] (7/27/10).
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Federal Reserve System, Securities & Exchange Commission (SEC), 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 |
Kenneth |
Cohen |
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Alison |
Weiss |
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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
See Addendum.
S. 3773, "Tax Hike Prevention Act of 2010".
S. 3786, the "Fair Playing Field Act" - tax treatment of independent contributors.
S. 3793, "Job Creation and Tax Cuts Act of 2010", Section 263, exceptions for active financing income and Title III - technical corrections to pension funding legislation.
H.R. 4337, "Regulated Investment Company Modernization Act of 2009".
H.R. 5297, "Small Business Jobs Act of 2010", Sections 211-213 - relating to partial annuitization of non-qualified annuities and in-plan Roth conversions.
H.R. 6128, the "Fair Playing Field Act" - tax treatment of independent contractors.
Financial Crisis Responsibility Fee - To assess a fee or tax on financial services firms to repay TARP losses (No Bill Number).
Treasury Department Explanation of the Administrations FY-2010 Budget Tax proposals to (1) modify the dividends received deduction for life insurance company separate accounts; (2) reporting of sales of existing life insurance contracts with a death benefit of $1 million or more; (3) interest expense disallowance for corporate-owned life insurance (COLI) policies; and (4) international tax reforms. General Explanations of the Administration's FY-2010 Revenue Proposals, Department of Treasury (May 2009), "Greenbook" - No Bill Number.
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 |
Ann |
Cammack |
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Kenneth |
Cohen |
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Alison |
Weiss |
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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 | 3 | 5 |
| 2 | 4 | 6 |
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 | 5 | 9 |
| 2 | 6 | 10 |
| 3 | 7 | 11 |
| 4 | 8 | 12 |