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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 | 2011 |
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, Chief Government Affairs Officer & Co-Head Government Affairs |
Date | 10/20/2011 |
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 BUD
16. Specific lobbying issues
FY2012 SEC Appropriation
Raising the Federal Debt Limit
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 |
Donald C. |
Auerbach |
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Dean R. |
Sackett |
III |
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Netonis |
Wybensinger |
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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
S. 1434 Data Security Act of 2011
S. 1615 Financial Regulatory Responsibility Act
H.R. 31 Fannie Mae and Freddie Mac Accountability and Transparency for Taxpayers Act
H.R. 344 Fiscal Responsibility Effective Enforcement Act of 2011
H.R. 463 Fannie Mae and Freddie Mac Transparency Act of 2011
H.R. 654 Do Not Track Me Online Act of 2011
H.R. 940 United States Covered Bond Act of 2011
H.R. 1182 GSE Bailout Elimination and Taxpayer Protection Act
H.R. 1221 Equity in Government Compensation Act
H.R. 1222 GSE Subsidy Elimination Act
H.R. 1223 GSE Credit Risk Equitable Treatment Act
H.R. 1224 GSE Portfolio Risk Reduction Act
H.R. 1225 GSE Debt Issuance Approval Act
H.R. 1226 GSE Mission Improvement Act
H.R. 1227 GSE Risk and Activities Limitation Act
H.R. 1528 Consumer Privacy Protection Act of 2011
H.R. 1539 Asset-Backed Market Stabilization Act of 2011
H.R. 1573 Delay Implementation of Title VII of Dodd-Frank Act
H.R. 1859 Housing Finance Reform Act of 2011
H.R. 2308 SEC Regulatory Accountability Act
H.R. 2428 GSE Legal Fee Reduction Act of 2011
H.R. 2436 Fannie Mae and Freddie Mac Taxpayer Payback Act of 2011
H.R. 2439 Removing GSEs Charters During Receivership Act of 2011
H.R. 2462 Cap the GSE Bailout Act of 2011
H.R. 2586 Swap Execution Facility Clarification Act
SEC Modernization Act
Investment Adviser Oversight Act of 2011
CFTC Rule 4.5
Money Market Mutual Funds
Dodd-Frank Whistleblower Provisions
Derivatives
Municipal Securities Transparency Act of 2011
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 |
Dean R. |
Sackett |
III |
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Donald C. |
Auerbach |
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Netonis |
Wybensinger |
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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. 267 Lifetime Income Disclosure Act
S. 1121 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act of 2011
S. 1557 Automatic IRA Act of 2011
H.R. 677 Lifetime Income Disclosure Act
DOL Fiduciary Definition
Target Date Funds
401(k) Fee Disclosure
Securities Lending in Retirement Plans
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 |
Allen |
Huffman |
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Peter J. |
Gunas |
III |
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Dean R. |
Sackett |
III |
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Donald C. |
Auerbach |
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Netonis |
Wybensinger |
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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. 347 Public Employee Pension Transparency Act
S. 557 Public Good IRA Rollover Act of 2011
S. 727 Bipartisan Tax Fairness and Simplification Act of 2011
S. 1016 Municipal Bond Market Support Act of 2011
S. 1346 Stop Tax Haven Abuse Act
H.R. 567 Public Employee Pension Transparency Act
H.R. 2003 Taxing Speculators Out of the Oil Market Act
H.R. 2669 Stop Tax Haven Abuse Act
Annual Deferral Limits for Retirement Plans
Foreign Account Tax Compliance Act
International Tax Reform
Tax-Exemption for Municipal Bonds
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 |
Allen |
Huffman |
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Peter J. |
Gunas |
III |
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Dean R. |
Sackett |
III |
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Donald C. |
Auerbach |
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Netonis |
Wybensinger |
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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 |