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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 101 CONSTITUTION AVE., NW #912 WEST |
Address2 | |
City | WASHINGTON |
State | DC |
Zip Code | 20001 |
Country | USA |
3. Principal place of business (if different than line 2)
City | Minneapolis |
State | MN |
Zip Code | 55474 |
Country | USA |
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5. Senate ID# 302313-12
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6. House ID# 378270000
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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. | ||||||||
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: Denise Gwyn Ferguson, Senior Vice President, Federal Government Affairs |
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 BAN
16. Specific lobbying issues
H.R. 4173 Dodd Frank Wall Street Reform and Consumer Protection Act; provisions relating to thrift charters, depository institutions, bank regulatory consolidation, the Volcker Rule, and scope of Consumer Financial Protection Bureau
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 |
Denise |
Ferguson |
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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 CPT
16. Specific lobbying issues
H.R. 1260 Patent Reform Act of 2009; provisions relating to patents held by financial services firms
S. 515 - Patent Reform Act of 2009; provisions relating to patents held by financial services firms
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 |
Denise |
Ferguson |
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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
H.R. 2221 The Data Accountability and Trust Act; provisions relating to non-applicability to GLB-regulated financial firms
H.R. 4173 Dodd Frank Wall Street Reform and Consumer Protection Act; provisions relating to systemic risk, resolution process, BD/IA harmonization, custodial accounts, insurers use of derivatives, arbitration, Volcker provisions affecting proprietary trading and hedge fund ownership, corporate governance, and assessment fee
H.R. 4884 United States Covered Bond Act of 2010; entire bill
S. 931 Arbitration Fairness Act of 2009; provisions relating to securities industry and franchise relationships
S. 1074 Shareholder Bill of Rights Act; entire bill
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 |
Denise |
Ferguson |
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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 INS
16. Specific lobbying issues
H.R. 2554 - National Association of Registered Agents and Brokers (NARAB) Reform; entire bill
H.R. 2555 - Homeowners Defense Act; entire bill
H.R. 3059 - Access to Repair Parts Act; entire bill
H.R. 4778 - National Flood Insurance Program Extension Act of 2010; entire bill
H.R. 5114 - Flood Insurance Reform Priorities Act of 2010; entire bill
H.R. 5255 Stable Flood Insurance Authorization Act of 2010; entire bill
S. 1368 Access to Repair Parts Act; entire bill
S. 3153 - Continuing Extension Act of 2010; provisions related to extension of NFIP
S. 3814 - National Flood Insurance Program Reextension Act of 2010; entire bill
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 |
Denise |
Ferguson |
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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 LBR
16. Specific lobbying issues
H.R. 5107 - Employee Misclassification Prevention Act; provisions that would affect use of independent contractors within the securities industry
S. 3254 - Employee Misclassification Prevention Act; provisions that would affect use of independent contractors within the securities industry
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 |
Denise |
Ferguson |
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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
H.R. 1961 - Savings for American Families' Future Act of 2009; entire bill
H.R. 2021 - Savings Recovery Act; entire bill
H.R. 2096 - Long-Term Care Affordability and Security Act of 2009; entire bill
H.R. 2637 - To amend the Internal Revenue Code of 1986 to increase the age at which distributions from qualified retirement plans are required to begin and to extend the waiver of required minimum distribution rules for certain retirement plans and accounts through 2010; entire bill
H.R. 2748 - Retirement Security Needs Lifetime Pay Act; entire bill
H.R. 2779 Defined Contribution Plan Fee Transparency Act; provisions relating to fee disclosure
H.R. 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009; provisions relating to fee disclosures and investment advice
H.R. 3429 - Generate Retirement Ownership Through Long-Term Holding Act of 2009; entire bill
H.R. 3551 - Senior Investment Protection Act of 2009; entire bill
H.R. 3936 Preserve Benefits and Jobs Act of 2009; provisions relating to employer-provided pension plans and retirement savings
H.R. 4213 American Jobs and Closing Tax Loopholes Act of 2010; provisions relating to fee disclosure
H.R. 4126 - Retirement Fairness Act of 2009; entire bill
H.R. 4146 - Sensible Transparency for Retirement Plans Act of 2009; entire bill
H.R. 4742 Small Businesses Add Value for Employees (SAVE) Act; entire bill
H.R. 6099 - Automatic IRA Act of 2010; entire bill
S. 401 - Defined Contribution Fee Disclosure Act of 2009; entire bill
S. 702 - Long-Term Care Affordability and Security Act of 2009; entire bill
S. 906 - Senior Investor Protection Act; entire bill
S. 1082 - The Generating Retirement Ownership Through Long-Term Holding Act; entire bill
S. 1297 - Retirement Security for Life Act; entire bill
S. 1661 - Senior Investment Protection Act of 2009; entire bill
S. 2832 Lifetime Income Disclosure Act; entire bill
S. 3760 - Automatic IRA Act of 2010; entire bill
Administrations Budget provisions relating to Auto IRA proposal
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 |
Denise |
Ferguson |
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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
H.R. 436 - Certain Estate Tax Relief Act of 2009; entire bill
H.R. 1083 - The Business Activity Tax Simplification Act of 2009; entire bill
H.R. 1265 - Stop Tax Haven Abuse Act; provisions relating to management and control of foreign corporations
H.R. 1586 FAA Air Transportation Modernization and Safety Improvement Act; provisions relating to taxation of foreign operations
H.R. 1935 - To amend the Internal Revenue Code of 1986 to provide for the treatment of partnership interests held by partners providing services; entire bill
H.R. 2920 Statutory Pay Go Act of 2009; provisions relating to estate tax and middle class tax benefits
H.R. 3408 - Taxpayer Responsibility, Accountability, and Consistency Act of 2009; provisions relating to limitation of independent contractor status for independent broker dealers
H.R. 3905 Estate Tax Relief Act; entire bill
H.R. 3933 - Foreign Account Tax Compliance Act of 2009; to ensure workable reporting requirements for mutual funds
H.R. 4154 - Permanent Estate Tax Relief for Families, Farmers, and Small Businesses Act of 2009; entire bill
H.R. 4191 - Let Wall Street Pay for the Restoration of Main Street Act of 2009; entire bill
H.R. 4213 - American Workers, State, and Business Relief Act of 2010; provisions relating to tax extenders, carried interest, and fee disclosures
H.R. 4337 - Regulated Investment Company Modernization Act of 2009; provisions relating to mutual funds
H.R. 4849 - Small Business and Infrastructure Jobs Tax Act of 2010; provisions relating to small business capital gains exclusion and Build America Bonds
H.R. 4899 Supplemental Appropriations Act, 2010; provisions related to GRATS
H.R. 5297 Small Business Lending Fund Act of 2010; provisions relating to taxes affecting small business, partial annuitization, and expansion of Roth conversions
H.R. 5486 Small Business Jobs Tax Relief Act of 2010; provisions relating to small business investment incentives and grantor retained annuity trust
H.R. 5982 Small Business Tax Relief Act of 2010; provisions relating to repeal of 1099 reporting obligations enacted in health care reform
H.R. 6128 Fair Playing Field Act of 2010; provisions that would affect use of independent contractors within the securities industry
S. 506 - Stop Tax Haven Abuse Act; provision relating to managed and controlled foreign entities
S. 567 - A bill to repeal the sunset on the reduction of capital gains rates for individuals and on the taxation of dividends of individuals at capital gains rates; entire bill
S. 651 - Compensation Fairness Act of 2009; entire bill
S. 722 - Taxpayer Certainty and Relief Act of 2009; provisions relating to capital gains, dividends, and estate tax
S. 1007 - Excessive Pay Capped Deduction Act of 2009; entire bill
S. 2784 - A bill to amend the Internal Revenue Code of 1986 to permanently extend the estate tax as in effect in 2009; entire bill
S. 2869 Small Business Job Creation and Access to Capital Act of 2009; entire bill
S. 2882 - Taxpayer Responsibility, Accountability, and Consistency Act of 2009; provisions relating to independent contractors within the securities industry
S. 2927 - Wall Street Fair Share Act; entire bill
S. 3513 Bonus Depreciation Extension to Create Jobs Act; entire bill
S. 3773 Tax Hike Prevention Act of 2010; provisions relating to capital gains dividends and estate tax
S. 3786 Fair Playing Field Act; provisions that would affect use of independent contractors within the securities industry
S. 3793 Job Creation and Tax Cuts Act of 2010; entire bill
S. 3816 Creating American Jobs and Ending Offshoring Act; entire bill
Administrations FY 2011 budget proposals relating to Auto IRA retirement savings initiatives, taxation of life insurance companies, international taxation, tax treatment of capital gains and dividends, independent contractor, estate tax, and Financial Crisis Responsibility Fee
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 |
Denise |
Ferguson |
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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 |