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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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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, Chief Government Affairs Officer |
Date | 07/20/2009 |
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. 386 Fraud Enforcement and Recovery Act (creates Financial Crisis Inquiry Commission)
H.R. 1106 Helping Families Save Their Homes Act of 2009 (cramdown)
S. 896 Helping Families Save Their Homes Act of 2009 (PPIP)
S. 566 Financial Product Safety Commission Act of 2009
H.R. 1705 Financial Product Safety Commission Act of 2009
H.R. 384 TARP Reform and Accountability Act of 2009
H.R. 786 Make Permanent the Increase in Deposit Insurance Coverage
H.R. 977 Derivatives Markets Transparency and Accountability Act of 2009
S. 272 Derivatives Trading Integrity Act of 2009
H.R. 1068 Let Wall Street Pay for Wall Street's Bailout Act of 2009 (tax on securities transactions)
H.R. 1160 Money Market Fund Parity Act of 2009
H.R. 1181 NRSRO Ratings for Asset Backed Securities
H.R. 1327 Iran Sanctions Enabling Act of 2009 (divestiture)
H.R. 1349 Establish the Federal Accounting Oversight Board
H.R. 1479 Community Reinvestment Modernization Act of 2009
H.R. 1664 Pay for Performance Act of 2009 (Executive Compensation for TARP Recipients)
H.R. 1669 Federal Municipal Bond Marketing Support and Securitization Act of 2009
H.R. 2733 Fixed Indexed Annuities and Insurance Products Classification Act of 2009
S. 1389 Fixed Indexed Annuities and Insurance Products Classification Act of 2009
S. 927 Credit Rating Agency Responsibility Act of 2009
S. 1073 Rating Accountability and Transparency Enhancement Act of 2009 (credit rating agencies)
S. 1074 Shareholder Bill of Rights Act of 2009 (proxy access)
H.R. 2861 Shareholder Empowerment Act of 2009 (proxy access)
H.R. 2932 Stop VULTURE Funds Act
S. 1276 Private Fund Transparency Act of 2009 (investment adviser registration)
Financial Regulatory Restructuring
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 |
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 RET
16. Specific lobbying issues
S. 401 Defined Contribution Fee Disclosure Act of 2009
H.R. 1256 Family Smoking Prevention and Tobacco Control Act (mutual fund window in TSP)
H.R. 1984 401(k) Fair Disclosure for Retirement Security Act of 2009
H.R. 1988 Conflicted Investment Advice Prohibition Act of 2009
H.R. 2021 Savings Recovery Act of 2009
H.R. 2779 Defined Contribution Plan Fee Transparency Act of 2009
H.R. 2989 401(k) Fair Disclosure and Pension Security Act of 2009
Target Date Funds (Kohl)
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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Dean R. |
Sackett |
III |
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Donald C. |
Auerbach |
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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. 157 Retirement Account Distribution Improvement Act of 2009 (RMD)
H.R. 939 IRA Equity for Seniors Act (RMD)
S. 722 Taxpayer Certainty and Relief Act of 2009 (capital gains and dividends)
S. 506 Stop Tax Haven Abuse Act
H.R. 1265 Stop Tax Haven Abuse Act
S. 1082 GROWTH Act
H.R. 2022 Kids IRA Act of 2009
S. 1297 Retirement Security for Life Act of 2009 (annuities)
H.R. 2748 Retirement Security Needs Lifetime Pay Act of 2009 (annuities)
Automatic Payroll Deduction IRA
RIC Modernization
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, 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 |
Keith |
Lawson |
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Peter J. |
Gunas |
III |
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James R. |
Hart |
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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 | 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 |