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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1101 New York Ave. NW |
Address2 |
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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# 317914-12
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6. House ID# 393430000
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TYPE OF REPORT | 8. Year | 2015 |
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: Kenneth E. Bentsen, Jr. |
Date | 4/20/2015 8:44:42 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 BAN
16. Specific lobbying issues
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act);
H.R.171 (To repeal the Dodd-Frank Wall Street Reform and Consumer Protection Act);
H.R. 870 (The Puerto Rico Chapter 9 Uniformity Act of 2015);
H.R. 1491 (Partnership to Strengthen Homeownership Act of 2015);
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation;
Housing Affordability and Stability Plan;
Housing finance issues (General);
Government Sponsored Enterprise (GSE) Reform;
Strategic plan for conservatorships of the GSEs;
Eminent Domain;
Equity market structure issues;
Capital standards;
Ginnie Mae securitization programs;
The Volcker Rule implementation;
The Volcker Rule collaterized loan obligations (CLO) issue;
FINRA Regulatory Notice 13-42 (Comprehensive Automated Risk Data System);
Fixed income market structure;
Liquidity coverage ratio for municipal bonds;
Single Security proposal (Federal Housing Finance Agency);
Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal;
Federal Reserve G-SIB capital surcharge;
Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR);
Bankruptcy reform legislation;
Qualified Mortgage Rule (CFPB);
Section 956 of the Dodd-Frank Act.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, Natl Economic Council (NEC), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), Federal Reserve System, Ginnie Mae
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 |
Bentsen |
Jr. |
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Carter |
McDowell |
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Dave |
Oxner |
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Kevin |
Carroll |
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Joseph |
Vaughan |
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Bradley |
Edgell |
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Chris |
Killian |
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Andy |
Blocker |
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Colleen |
Kaveney |
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Jennifer |
Flitton |
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Legislative Assistant, Rep. Michael Oxley, 1999-2006 |
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Jennifer |
Flitton |
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Dep Chief, Legislative Director, Rep. Patrick McHenry, 2006-2015 |
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Jennifer |
Flitton |
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Designee, House Financial Services Committee, 2013-2015 |
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 CDT
16. Specific lobbying issues
H.R. 26 (Terrorism Risk Insurance Program Reauthorization Act of 2015);
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act);
H.R. 1163 (Futures Investor Protection Act);
H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify
how clearing requirements apply to certain affiliate transactions, and for other purposes);
S. 174 (Stop Tax Haven Abuse Act);
S.876 (To amend the Commodity Exchange Act to specify how clearing requirements apply to certain affiliate transactions);
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Regulatory rulemaking regarding swap dealer capital requirements and margin segregation);
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading,
clearing, and reporting requirements);
Commodity pool operators amendments;
Commodity Exchange Act (CEA) Reauthorization;
Core Principles and Other Requirements for Swap Execution Facilities (SEF Final Rule);
CFTC Cross-border Guidance and Exemptive Order;
Banks in physical commodity markets;
Make available to trade determination for Swap Execution Facilities (SEFs);
Position limits;
Jumpstart Our Business Startups (JOBS) Act implementation;
IHS Global report on the Role of Banks in Physical Commodities;
Concept Release on Risk Controls and System Safeguards for Automated Trading Environments;
The Volcker Rule;
Block trades;
Insurance-linked securities;
Transaction-Level Requirements in Certain Cross-Border Situations (CFTC letters Nos. 13-17 and 14-01);
CFTC Regulation 1.35;
Block trades on swap execution facilities (SEFs);
Liquidity coverage ratio (LCR) as it relates to commodities;
Commodities (general);
CFTC no action relief for packaged trades;
Security based swaps rules under Title VII;
Dodd-Frank Title VII;
Derivatives regulation (general);
Federal Reserve commodities advance notice of proposed rulemaking (ANPR);
CFTC Letter 14-140 on transaction-level requirements in certain cross-border situations;
Inter-affiliate swap transactions.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, 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 |
Bentsen |
Jr. |
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Carter |
McDowell |
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Dave |
Oxner |
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Michael |
Decker |
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Bradley |
Edgell |
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Kyle |
Brandon |
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Joseph |
Vaughan |
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Andy |
Blocker |
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John |
Gyorfy |
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Jennifer |
Flitton |
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Legislative Assistant, Rep. Michael Oxley, 1999-2006 |
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Jennifer |
Flitton |
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Deputy Chief, Legislative Director, Rep. Patrick McHenry, 2006-2015 |
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Jennifer |
Flitton |
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Designee, House Financial Services Committee, 2013-2015 |
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
H.R. 26 (Terrorism Risk Insurance Program Reauthorization Act of 2015);
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act);
H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015);
H.R. 234 (Cyber Intelligence Sharing and Protection Act);
H.R. 414 (Burdensome Data Collection Relief Act);
H.R. 432 (SBIC Advisers Relief Act of 2015);
H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015);
H.R. 897 (Reducing Regulatory Burdens Act of 2015);
H.R. 989 (Capital Access for Small Businesses and Jobs Act);
H.R. 1090 (Retail Investor Protection Act);
H.R. 1098 (Investor Choice Act of 2015);
H.R. 1163 (Futures Investor Protection Act);
H.R. 1317 (To amend the Commodity Exchange Act and the Securities Exchange Act of 1934 to specify
how clearing requirements apply to certain affiliate transactions, and for other purposes);
H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015);
H.R. 1525 (Disclosure Modernization and Simplification Act of 2015);
H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act);
H.R. 1675 (Encouraging Employee Ownership Act of 2015);
H.R. 1723 (Small Company Simple Registration Act of 2015);
S. 67 (Restoring Main Street Investor Protection and Confidence Act);
S. 115 (Fair Tax Act of 2015);
S. 153 (I-Squared Act of 2015);
S. 161 (Paying a Fair Share Act of 2015);
S. 305 (American Job Protection Act);
S. 576 (Encouraging Employee Ownership Act);
S. 754 (Cybersecurity Information Sharing Act of 2015);
Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures;
Swap execution facilities;
Swap dealer, major swap participant, and futures commission merchant chief compliance officer;
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II);
Systemic Risk Regulation and liquidation authority;
Market Structure Issues (dark pools, flash quotes, high frequency trading);
China - strategic and economic dialogue;
Bilateral Investment Treaties, India, China;
Transpacific Partnership;
India Market Access Issues;
European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets;
Basel Capital Rules;
Basel Securitization Framework;
G-20;
TransAtlantic Trade and Investment Partnership (TTIP);
Trade Promotion Authority (TPA);
India Financial Sector Reform;
Accounting standards for municipalities;
Securities Investor Protection Corporation (SIPC) reform and funding fees;
Establishment of the Office of Financial Research;
Bankruptcy reform for municipalities;
Financial Stability Oversight Council (FSOC);
Support of financial literacy;
Privacy and cybersecurity issues (general);
Self-Regulatory Organizations (SRO) rulemaking;
Municipal advisor regulation;
NASDAQ and NYSE market data fee proposals;
CFTC cross-border guidance;
CFTC exemptive order on extraterritorial scope of Title VII;
Computerized trading;
Legal entity identifier (LEI);
Jumpstart our Business Startups (JOBS) Act implementation;
Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO)
consultation paper on margin requirements for uncleared derivatives;
Commodity Pools and Securitization;
Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8;
CFTC recordkeeping requirements (CEA Section 23.201);
Office of Financial Research study (Asset Management and Financial Stability);
FSOC consideration of systemically important financial institutions (SIFIs);
Leverage capital requirements;
Release No. 34-71958, Security-Based Swap Dealers Recordkeeping;
Bankruptcy code reform;
Municipalities Continuing Disclosure Cooperation (MCDC) Initiative;
Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority);
Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau);
CFTC proposed rule on margin requirements for uncleared swaps;
Prudential Regulator's proposed rule on margin requirements for uncleared swaps;
Commodity Pools and Securitization;
Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures;
Inter-affiliate swap transactions;
Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps;
Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures;
U.S./EU cross-border regulatory issues;
Cybersecurity requests for technical assistance;
Cybersecurity proposals;
Trade policy issues (general);
Market data (Exchange Act Section 19 and related rules);
China "Secure and Controllable" information and communication technologies (ICT) regulations.
Small Business Credit Availability Act (not yet introduced);
Startup Capital Modernization Act (not yet introduced);
Fostering Innovation Act (not yet introduced).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Natl Economic Council (NEC), Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR), Commerce - Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Natl Credit Union Administration (NCUA), Ginnie Mae, Homeland Security - Dept of (DHS), Natl Security Council (NSC), State - Dept of (DOS), Office of the Comptroller of the Currency (OCC), Housing & Urban Development - Dept of (HUD)
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 |
Bentsen |
Jr. |
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Michael |
Decker |
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Lisa |
Bleier |
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Bradley |
Edgell |
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Kevin |
Carroll |
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Joseph |
Vaughan |
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Kyle |
Brandon |
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Carter |
McDowell |
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Dave |
Oxner |
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Melissa |
MacGregor |
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Chris |
Killian |
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Payson |
Peabody |
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Andy |
Blocker |
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Colleen |
Kaveney |
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John |
Gyorfy |
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Peter |
Matheson |
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Jennifer |
Flitton |
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Legislative Assistant, Rep. Michael Oxley, 1999-2006 |
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Jennifer |
Flitton |
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Deputy Chief, Legislative Director, Rep. Patrick McHenry, 2006-2015 |
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Jennifer |
Flitton |
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Designee, House Financial Services Committee, 2013-2015 |
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
H.R. 961 (To amend the Internal Revenue Code of 1986 to permanently extend the subpart F exemption for active financing income);
H.R. 1430 (Permanent CFC Look-Through Act of 2015);
H.Res.189 (Providing for consideration of the bill (H.R. 650) to amend the Truth in Lending Act to modify the definitions of a mortgage originator and a high-cost mortgage, providing for consideration of the bill (H.R. 685) to amend the Truth in Lending Act
to improve upon the definitions provided for points and fees in connection with a mortgage transaction, and providing for the
adoption of the concurrent resolution (S. Con. Res. 11) setting forth the congressional budget for the United States Government
for fiscal year 2016 and setting forth the appropriate budgetary levels for fiscal years 2017 through 2025);
S. 161 (Paying a Fair Share Act of 2015);
S. 174 (Stop Tax Haven Abuse Act);
S.Con.Res11(An original concurrent resolution setting forth the congressional budget for the United States Government for fiscal year 2016 and setting forth the appropriate budgetary levels for fiscal years 2017 through 2025);
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation;
U.S. and foreign Financial Transaction Tax Legislation Proposals;
Tax issues related to standardization of credit default swaps and derivatives transactions;
Extension of Active Financing Rules;
Administration's Financial Crisis Responsibility Fee;
Tax issues related to interest expense allocation;
Tax treatment of capital gains and dividends;
Tax classification of independent contractors;
Taxation of cross-border equity swaps;
Corporate tax reporting rules;
Tax reporting requirements for foreign financial institutions on certain foreign accounts;
Foreign Account Tax Compliance Act of 2010 (FATCA);
Securities cost basis reporting regulations;
International tax reform;
United States individual and business taxation;
Preservation of tax incentives for retirement plans;
Municipal Advisor Regulation;
Tax Reform Act of 2014;
Issues related to proposals to impose an asset tax on financial institutions;
Issues related to proposals to limit the deductability of FDIC assessments;
Tax characteristics of nominal negative interest payments;
Income tax withholding with respect to I.R.C. 305(c) deemed dividends;
Tax Reform Legislation;
Financial Transaction Tax (FTT).
Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals;
Issues related to taxation of negative interest payments;
Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities;
Issues related to taxation of securities transactions, including market to market for derivatives;
Taxation of cross-border equity swaps.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Natl Security Council (NSC), Securities & Exchange Commission (SEC)
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 |
Bentsen |
Jr. |
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Payson |
Peabody |
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Carter |
McDowell |
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Bradley |
Edgell |
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Joseph |
Vaughan |
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Michael |
Decker |
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Dave |
Oxner |
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Lisa |
Bleier |
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John |
Maurello |
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Tracy |
Eichler |
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Jillian |
Enoch |
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Andy |
Blocker |
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Colleen |
Kaveney |
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Jennifer |
Flitton |
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Legislative Assistant, Rep. Michael Oxley, 1999-2006 |
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Jennifer |
Flitton |
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Deputy Chief, Legislative Director, Rep. Patrick McHenry, 2006-2015 |
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Jennifer |
Flitton |
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Designee, House Financial Services Committee, 2013-2015 |
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
H.R. 637 (Permanent IRA Charitable Contribution Act of 2015);
H.R. 1090 (Retail Investor Protection Act);
SAFE Retirement Act (not yet reintroduced);
DOL ERISA Fiduciary Duty Rulemaking;
Sense of Congress resolution to preserve tax incentives;
Preservation of tax incentives for retirement plans;
Facilitation of e-delivery of retirement plan information;
Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP)
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 |
Bentsen |
Jr. |
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Lisa |
Bleier |
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Kyle |
Brandon |
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Carter |
McDowell |
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Joe |
Vaughan |
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Michael |
Decker |
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Bradley |
Edgell |
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Dave |
Oxner |
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Tracy |
Eichler |
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Jillian |
Enoch |
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John |
Maurello |
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Andy |
Blocker |
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Colleen |
Kaveney |
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Jennifer |
Flitton |
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Legislative Assistant, Rep. Michael Oxley, 1999-2006 |
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Jennifer |
Flitton |
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Deputy Chief, Legislative Director, Rep. P. McHenry, 2006-2015 |
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Jennifer |
Flitton |
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Designee, House Financial Services Committee, 2013-2015 |
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John |
Gyorfy |
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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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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:
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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) |
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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 |