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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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State | |
Zip Code | |
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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 | 2012 |
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: Marc T. Charon, Executive Vice President and Managing Director, COO |
Date | 04/20/2012 |
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
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislative and regulatory measures and Congressional studies affecting the hedge fund industry and other alternative investments.
Legislative oversight of implementation of Titles I, II, IV, VII, and IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Regulation and oversight of investment advisors.
Financial services regulatory reform in non-U.S. jurisdictions.
Pending legislation on a Self Regulatory Organization for investment advisors.
Pending legislation to amend the Commodity Exchange Act to clarify the definition of major swap participant and swap dealer.
H.R. 87 -- To repeal the Dodd-Frank Wall Street Reform and Consumer Protection Act.
H.R. 1070 -- To amend the Securities Act of 1933 to authorize the Securities and Exchange Commission to exempt a certain class of securities from such Act.
H.R. 1151 -- To require the Secretary of the Treasury to make risk-based assessments on financial companies to recoup the amount of assistance made available for unemployed homeowners under the Emergency Mortgage Relief Program and for States and communities under the Neighborhood Stabilization Program.
H.R. 1573 -- To facilitate implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption.
H.R. 1610 -- To provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934, and for other purposes.
H.R. 2112 -- An act making consolidated appropriations for the Departments of Agriculture, Commerce, Justice, Transportation, and Housing and Urban Development, and related programs for the fiscal year ending September 30, 2012, and for other purposes.
H.R. 2167 -- To amend the Securities Exchange Act of 1934, allowing private companies to have 1,000 shareholders instead of the current 500 before they're required to publicly disclose their finances.
H.R. 2586 -- To refine the definition of swap execution facility in the provisions regulating swap markets added by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
H.R. 2940 -- To direct the Securities and Exchange Commission to eliminate the prohibition against general solicitation as a requirement for a certain exemption under Regulation D.
H.R. 3045 -- To amend the Employee Retirement Income Security Act of 1974, the Commodity Exchange Act, and the Securities Exchange Act of 1934 to ensure that pension plans can use swaps to hedge risks, and for other purposes.
H.R. 3606 -- To increase American job creation and economic growth by improving access to the public capital markets for emerging growth companies.
H.R. 4088 -- To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes.
S. 746 To repeal provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
S. 1831 -- To direct the Securities and Exchange Commission to eliminate the prohibition against general solicitation as a requirement for a certain exemption under Regulation D.
S. 2038 -- To prohibit Members of Congress and employees of Congress from using nonpublic information derived from their official positions for personal benefit, and for other purposes.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC), 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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Roger |
Hollingsworth |
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Benjamin |
Allensworth |
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David |
Landers |
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Louis |
Costantino |
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Stuart |
Kaswell |
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Sarah |
Morgan |
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Richard |
Policastro |
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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
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislation, regulatory measures, and Congressional studies on tax reform issues affecting hedge funds and other alternative investments, including: enterprise value, carried interest, and pass-through entities.
Regulation of passive investment in U.S. securities and other assets by non-U.S. investors.
Tax reform in non-U.S. jurisdictions.
Pending legislation on international tax reform.
H.R. 2003 -- To amend the Internal Revenue Code of 1986 to impose a tax on transactions in oil futures, options, and swaps, and for other purposes.
H.R. 2669 -- To restrict the use of offshore tax havens and abusive tax shelters to inappropriately avoid Federal taxation, and for other purposes.
H.R. 3313 -- To amend the Internal Revenue Code of 1986 to impose a tax on certain trading transactions.
H.R. 3630 -- To extend the payroll tax holiday, unemployment compensation, Medicare physician payment, provide for the consideration of the Keystone XL pipeline, and for other purposes.
H.R. 4016 -- To amend the Internal Revenue Code of 1986 to provide for the proper tax treatment of personal service income earned in pass-thru entities.
S. 1346 -- To restrict the use of offshore tax havens and abusive tax shelters to inappropriately avoid Federal taxation, and for other purposes.
S. 1549 -- To provide tax relief for American workers and businesses, to put workers back on the job while rebuilding and modernizing America, and to provide pathways back to work for Americans looking for jobs.
S. 1787 -- To amend the Internal Revenue Code of 1986 to impose a tax on certain trading transactions.
S. 1813 -- To reauthorize Federal-aid highway and highway safety construction programs, and for other purposes.
S. 2075 -- To close unjustified corporate tax loopholes, and for other purposes.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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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Roger |
Hollingsworth |
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Stuart |
Kaswell |
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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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Richard |
Policastro |
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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
Meetings and calls with Members and staff of House and Senate Committees and agency officials concerning possible legislation and regulatory measures and Congressional studies affecting hedge funds and other alternative investments.
Legislative oversight of implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Commodities and derivatives regulatory reform in non-U.S. jurisdictions.
Pending legislation to amend the Commodity Exchange Act regarding the definition of major swap participant and swap dealer.
H.R. 87 -- To repeal the Dodd-Frank Wall Street Reform and Consumer Protection Act.
H.R. 1573 -- To facilitate implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption.
H.R. 1610 -- To provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934, and for other purposes.
H.R. 1840 To direct the CFTC to comply with President Obama's Executive Order which calls for certain federal agencies and departments to evaluate the cost of regulations on economic growth, innovation, competitiveness, and job creation.
H.R. 2003 -- To amend the Internal Revenue Code of 1986 to impose a tax on transactions in oil futures, options, and swaps, and for other purposes.
H.R. 2112 -- An act making consolidated appropriations for the Departments of Agriculture, Commerce, Justice, Transportation, and Housing and Urban Development, and related programs for the fiscal year ending September 30, 2012, and for other purposes.
H.R. 2328 -- To require the Chairman of the Commodity Futures Trading Commission to impose unilaterally position limits and margin requirements to eliminate excessive oil speculation, and to take other actions to ensure that the price of crude oil, gasoline, diesel fuel, jet fuel, and heating oil accurately reflects the fundamentals of supply and demand, to remain in effect until the date on which the Commission establishes position limits to diminish, eliminate, or prevent excessive speculation as required by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, and for other purposes.
H.R. 2586 -- To refine the definition of swap execution facility in the provisions regulating swap markets added by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
H.R. 3045 -- To amend the Employee Retirement Income Security Act of 1974, the Commodity Exchange Act, and the Securities Exchange Act of 1934 to ensure that pension plans can use swaps to hedge risks, and for other purposes.
S. 746 To repeal provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
S. 1200 -- To require the Chairman of the Commodity Futures Trading Commission to impose unilaterally position limits and margin requirements to eliminate excessive oil speculation, and to take other actions to ensure that the price of crude oil, gasoline, diesel fuel, jet fuel, and heating oil accurately reflects the fundamentals of supply and demand, to remain in effect until the date on which the Commission establishes position limits to diminish, eliminate, or prevent excessive speculation as required by title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, and for other purposes.
S. 1619 To provide for identification of misaligned currency, require action to correct the misalignment, and for other purposes.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Commodity Futures Trading Commission (CFTC), 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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Roger |
Hollingsworth |
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Stuart |
Kaswell |
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Louis |
Costantino |
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David |
Landers |
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Sarah |
Morgan |
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Richard |
Policastro |
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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 |