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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 600 14th Street, N.W. |
Address2 | Suite 900 |
City | Washington |
State | DC |
Zip Code | 20005 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 313010-12
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6. House ID# 387600000
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TYPE OF REPORT | 8. Year | 2018 |
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 |
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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. | ||||||||
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 |
Signature | Digitally Signed By: Sarah Anne Morgan |
Date | 10/16/2018 3:28:49 PM |
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
Legislative oversight of implementation of Titles I, II, IV, VII, and IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Legislative oversight of implementation of the Jumpstart Our Business Startups Act of 2012.
Regulation and oversight of investment advisers.
Financial services regulatory reform in non-U.S. jurisdictions.
Equity market structure issues including electronic trading and algorithmic trading.
Capital formation legislation.
Self Regulatory Organization (SRO) governance.
Hart-Scott-Rodino modernization.
H.R. 10 - To create hope and opportunity for investors, consumers, and entrepreneurs by ending bailouts and Too Big to Fail, holding Washington and Wall Street accountable, eliminating red tape to increase access to capital and credit, and repealing the provisions of the Dodd-Frank Act that make America less prosperous, less stable, and less free, and for other purposes. (Protection for sensitive and proprietary data.)
H.R. 3948 - To prohibit the Securities and Exchange Commission from compelling a person to produce or furnish algorithmic trading source code or similar intellectual property to the Commission unless the Commission first issues a subpoena, and for other purposes.
H.R. 4659 - To require the appropriate Federal banking agencies to recognize the exposure-reducing nature of client margin for cleared derivatives.
S. 2155 - To promote economic growth, provide tailored regulatory relief, and enhance consumer protections, and for other purposes.
S. 1744 - To require the Securities and Exchange Commission to amend certain regulations, and for other purposes. (Provisions concerning short sale disclosure.)
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Richard |
Baker |
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Benjamin |
Allensworth |
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David |
Landers |
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Louis |
Costantino |
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Sarah |
Morgan |
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Sara |
Vargo |
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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
Legislative oversight of implementation of H.R. 1 - The Tax Cuts and Jobs Act.
H.R. 1625 - Consolidated Appropriations Act, 2018 - Division U (Technical corrections to partnership audit provisions in the Bipartisan Budget Act of 2015.)
Carried Interest/Enterprise Value.
International tax reform.
Taxation of pass-through entities.
Taxation of financial products.
Limitations on deductions.
864(b) of the Internal Revenue Code - safe harbor for investment in U.S. securities and other assets by non-U.S. investors
Unrelated Business Income Tax (UBIT)
Section 451(b) of the Internal Revenue Code.
Legislative oversight of implementation of rules under 871(m) of the Internal Revenue Code.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Richard |
Baker |
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Louis |
Costantino |
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David |
Landers |
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Benjamin |
Allensworth |
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Sarah |
Morgan |
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Sara |
Vargo |
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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 AGR
16. Specific lobbying issues
Legislative oversight of implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Commodities and derivatives regulatory reform in non-U.S. jurisdictions.
Commodities and derivatives regulatory reform issues, including:
-Protection of customer collateral;
-Oversight of commodity pool operators;
-Protections for sensitive and proprietary data;
-Position limits;
-International coordination;
-CFTC/SEC coordination of CTA, CPO oversight and data collection.
Legislation to align exemptions for general solicitation of investment in commodity pools similar to the exemption provided for general solicitation of securities under the Jumpstart Our Business Startups (JOBS) Act of 2012.
H.R. 238 - To reauthorize the Commodity Futures Trading Commission to better protect futures customers, to provide end-users with market certainty, to make basic reforms to ensure transparency and accountability at the Commission, to help farmers, ranchers, and end-users manage risks, to help keep consumer costs low, and for other purposes.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Richard |
Baker |
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Benjamin |
Allensworth |
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Sarah |
Morgan |
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Louis |
Costantino |
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David |
Landers |
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Sara |
Vargo |
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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 |