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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 | 2021 |
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: Kathleen Mellody |
Date | 1/11/2024 5:31:52 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
H.R. 699- Mutual Fund Litigation Reform Act (Emmer)
H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks)
H.R. 1996- Secure and Fair Enforcement Banking Act of 2021 (Perlmutter)
H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty)
H.R. 2265- Financial Exploitation Prevention Act (Wagner)
H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk)
H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster)
H.R. 4262- Increasing Investor Opportunities Act (Gonzalez)
H.R. 4616- Adjustable Interest Rate (LIBOR) Act of 2021 (Sherman)
H.R. 4618- Short Sale Transparency and Market Fairness Act (Waters)
H.R. 5598- Access to Small Business Investor Capital Act (Sherman)
H.R. 6285- Accelerating Holding Foreign Companies Accountable Act (Sherman)
S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez)
S. 910- Secure and Fair Enforcement Banking Act of 2021 (Merkley)
S. 1605- National Defense Authorization Act for Fiscal Year 2022
S. 2184- Accelerating Holding Foreign Companies Accountable Act (Kennedy)
S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey)
Improving Disclosure for Investors Act
Processing fees for delivering investment materials
Adjustable Interest Rate (LIBOR) Act (Senate draft)
Consolidated Audit Trail
SEC Cybersecurity and Data Protection
Diverse Investment Advisers Act (House draft)
Diversity and Inclusion in the Asset Management Industry
Enhanced ESG Disclosure
SEC's proposed money market fund reforms
Shorten US securities settlement cycle to trade date plus one day
Stablecoins
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
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 |
Sackett |
III |
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Kelly |
Hitchcock |
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Cynthia |
Pullom |
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Kathleen |
Mellody |
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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. 5891- Retirement Improvement and Savings Enhancement Act (Scott)
Department of Labor's fiduciary rulemaking
Electronic Distribution of Retirement Plan Communications
Qualified Default Investment Alternatives
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Labor - Dept of (DOL)
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 |
Gunas |
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Dean |
Sackett |
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Kathleen |
Mellody |
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Allen |
Huffman |
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Andrew |
Goldenbaum |
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Elena |
Chism |
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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. 2954- Securing a Strong Retirement Act of 2021 (Neal)
H.R. 3142- Tax Parity for US Mutual Funds Act (Davis)
H.R. 5376- Build Back Better Act
S. 1703- Improving Access to Retirement Savings Act (Grassley)
S. 1730- Retirement Savings Lost and Found Act of 2021 (Warren)
S. 1770- Retirement Security and Savings Act of 2021 (Cardin)
S. 1870- Enhancing Emergency and Retirement Savings Act of 2021 (Lankford)
S. 2452- Encouraging Americans to Save Act (Wyden)
S. 2621- Modernization of Derivatives Tax Act (Wyden)
Excise tax on corporate stock buybacks
IRC section 852(b)(6)
Auto-IRA/Plan Requirement
Limits on large IRA balances
Capital gains and dividends taxation
Financial account reporting
Tax deferral of retirement contributions
Tax exemption for municipal bond interest
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
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 |
Gunas |
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Dean |
Sackett |
III |
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Allen |
Huffman |
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Andrew |
Goldenbaum |
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Kathleen |
Mellody |
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Elena |
Chism |
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Cynthia |
Pullom |
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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 BUD
16. Specific lobbying issues
H.R. 4345- Financial Services and General Government Appropriations Act, FY 2022
Debt Limit
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
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 |
Sackett |
III |
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Kelly |
Hitchcock |
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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
S. 225- Competition and Antitrust Law Enforcement Reform Act of 2021 (Klobuchar)
FTC Hart-Scott-Rodino Proposed Rule
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
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 |
Sackett |
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Kathleen |
Mellody |
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Kelly |
Hitchcock |
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Cynthia |
Pullom |
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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 |
CONVICTIONS DISCLOSURE
29. Have any of the lobbyists listed on this report been convicted in a Federal or State Court of an offense involving bribery,
extortion, embezzlement, an illegal kickback, tax evasion, fraud, a conflict of interest, making a false statement, perjury, or money laundering?
Lobbyist Name | Description of Offense(s) |