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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1501 M STREET, N.W., Suite 600 |
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City | WASHINGTON |
State | DC |
Zip Code | 20005-1755 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 4675-12
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6. House ID# 312420000
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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: Ralph P. Kass, Controller |
Date | 01/20/2011 |
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
Limit Executive Compensation Abuse Act - H.R. 857
The Savings for American Families Future Act of 2009 H.R. 1961
The 401 (k) Fair Disclosure for Retirement Security Act 0f 2009 H.R. 1984
Conflicted Investment Advice Prohibition Act of 2009 H.R. 1988
Savings Recovery Act H.R. 2021
Retirement Security Needs Lifetime Pay Act H.R. 2748
Retirement Savings Transparency Act of 2009 - H.R. 2792
The Defined Contribution Plan Fee Transparency Act H.R. 2779
401 (k) Fair Disclosure and Pension Security Act of 2009 H.R. 2989
Consumer Financial Protection Agency Act of 2009 H.R. 3126
Foreign Account Tax Compliance Act of 2009 H.R. 3933
Preserve Benefits and Jobs Act of 2009 H.R. 3936
Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act H.R. 3962/Public Law No: 111-192
Retirement Fairness Act H.R. 4126
Sensible Transparency for Retirement Plans Act H.R. 4146
Tax Technical Corrections Act of 2009 H.R. 4169
Dodd-Frank Wall Street Reform and Consumer Protection Act - Restoring American Financial Stability Act of 2010 H.R. 4173, Public Law No: 111-203
American Workers, State, and Business Relief Act H.R. 4213/Unemployment Compensation Extension Act of 2010 (tax extenders) Public Law No: 111-205
Small Businesses Add Value for Employees Act of 2009 (SAVE Act) H.R. 4742
Middle Class Tax Cut Act (Senate Amendment 4727) package of tax extensions and other provisions to the defined benefit pension funding relief provisions, and a provision extending parity for employee transit subsidies
Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act H.R. 4853
Amendment to a Federal Aviation Administration funding extension bill H.R. 4915
Medicare and Medicaid Extenders Act H.R. 4994
Employee Misclassification Prevention Act (EMPA) H.R. 5107
Small Business Jobs and Credit Act of 2010 H.R. 5297 tax extenders, defined benefit pension plan funding relief - technical corrections from H.R. 3962
Automatic IRA Act of 2010 H.R. 6099
Fair Playing Field Act of 2010 H.R. 6128 (worker classification)
Public Employee Pension Transparency Act - H.R. 6484
Health Care Reform regulatory implementation and compliance issues from the Patient Protection and Affordable Care Act (PPACA) Public Law No: 111-148 & the Health Care and Education Reconciliation Act of 2010 (HCERA) Public Law 111-152 new compensation deduction limits on entities receiving health insurance premiums (162 (m)(6))
Financial Services Reform regulation of swaps transactions, major swap participants (MSPs), swaps, business conduct standards, fiduciary duty and liability issues; effects on pension, retirement, and health plans that use swaps; 401 (k) stable value funds and contracts, retirement plan administration, compensation disclosure issues
Pension Funding - additional funding relief and technical corrections for defined benefit pension plans, single and multiemployer plans, nonqualified deferred compensation conditions, PBGC premium funding target methods and premium submission issues, plan termination issues
Retirement Security nonqualified deferred compensation, executive compensation, defined contribution plan issues, 401 (k) plans, conversions to Roth 401 (k) plans, automatic IRAs, investment advice, investment selection (target date funds), the Savers Credit, retirement savings plans for small businesses, lifetime income issues, nondiscrimination rules for retirement plans, alternative pension investments, accounting transparency for pensions, plan loans, tax expenditures for retirement plans
National Commission on Fiscal Responsibility and Reform implications for benefits
Senate
Cap Executive Officer Pay Act of 2009 - S. 360
The Defined Contribution Fee Disclosure Act of 2009 - S. 401
Shareholder Bill of Rights Act S. 1074
Retirement Security for Life Act of 2009 S. 1297
Pension Benefit Guaranty Corporation (PBGC) Governance Improvement Act of 2009 S. 1544
Foreign Account Tax Compliance Act of 2009 S. 1934
Lifetime Income Disclosure Act S. 2832
Create Jobs and Save Benefits Act of 2010 S. 3157
Restoring American Financial Stability Act/Wall Street Transparency and Accountability Act S. 3217
Employee Misclassification Prevention Act (EMPA) S. 3254
Automatic IRA Act of 2010 S. 3760
Paycheck Fairness Act S. 3772
Fair Playing Field Act of 2010 S. 3786 (worker classification)
Job Creation and Tax Cuts Act of 2010 S. 3793
Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act H.R. 3962, Public Law No: 111-192
American Workers, State, and Business Relief Act /American Jobs and Closing Tax Loopholes Act (tax extenders) H.R. 4213, & Substitute amendments
Dodd-Frank Wall Street Reform and Consumer Protection Act - Restoring American Financial Stability Act of 2010 H.R. 4173, Public Law No: 111-203
Middle Class Tax Cut Act (Senate Amendment 4727) package of tax extensions and other provisions to the defined benefit pension funding relief provisions, and a provision extending parity for employee transit subsidies
Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act H.R. 4853
Amendment to a Federal Aviation Administration funding extension bill H.R. 4915
Medicare and Medicaid Extenders Act H.R. 4994
Small Business Jobs and Credit Act of 2010 H.R. 5297 (revised substitute)
Health Care Reform regulatory implementation and compliance issues from the Patient Protection and Affordable Care Act (PPACA) Public Law No: 111-148 & the Health Care and Education Reconciliation Act of 2010 (HCERA) Public Law 111-152 new compensation deduction limits on entities receiving health insurance premiums (162 (m)(6))
Financial Services Reform regulation of swaps transactions, major swap participants (MSPs), swaps, business conduct standards, fiduciary duty and liability issues; effects on pension, retirement, and health plans that use swaps; 401 (k) stable value funds and contracts, retirement plan administration, compensation disclosure issues
Pension funding additional funding relief and technical corrections for defined benefit pension plans, single and multiemployer plans, nonqualified deferred compensation conditions, PBGC premium funding target methods and premium submission issues, plan termination and governance issues
Retirement Security nonqualified deferred compensation, executive compensation, defined contribution plan issues, 401 (k) plans, automatic IRAs, conversions to Roth 401(k) plans, investment advice, investment selection (target date funds), the Savers Credit, lifetime income issues, nondiscrimination rules for retirement plans, plan loans, tax expenditures for retirement plans, long-term disability policies (LTDs)
National Commission on Fiscal Responsibility and Reform implications for benefits
Pension funding relief - adequacy of defined benefit vehicles, hybrids, proposed hybrid retirement plan regulations, retirement plan designs, and tax treatment of expatriates
Investment advice - adequacy of defined contribution vehicles, investment selection (target date funds) and annuity issues, automatic/mandatory individual retirement accounts (IRAs), proposed regulations regarding target date funds (TDFs) and qualified default investment alternatives (QDIAs)
Disclosure for defined contribution (DC) and defined benefit (DB) plans and service providers -ERISA Section 408 (b) (2), Fiduciary requirements 401 (k) participant fee disclosure regulations, proposed definition of fiduciary for investment advice arrangements, in-plan Roth conversions issues
Defined Benefit (DB) plan year filing issues Form 5500 (EFAST)
Cash balance and pension equity plans, market rate of return for hybrid plans
Nonqualified deferred compensation (NQDC), new compensation deduction limits on entities receiving health insurance premiums 162 (m) (6)
Pension Benefits Guaranty Corporation (PBGC) premium funding target methods (variable rate premiums), premium submission and plan termination issues, proposed regulations - (ERISA Section 4062(e))
Foreign bank account reporting, Report of Foreign Bank and Financial Accounts (FBAR)
Financial services regulatory reform, executive compensation disclosure issues, involvement with employee benefit plans, Swaps, definition of major swap participant and major security-based swap participant, business conduct standards, family offices,
Domestic plan asset investment issues
Puerto Rican plan trust issues
Multiemployer plan issues
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Internal Revenue Service (IRS), Pension Benefit Guaranty Corporation (PBGC), Treasury - Dept of, Labor - Dept of (DOL), Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC)
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 |
James |
Klein |
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Lynn |
Dudley |
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Diann |
Howland |
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Jan |
Jacobson |
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Jill |
Randolph |
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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 HCR
16. Specific lobbying issues
Community Pharmacy Fairness Act of 2009 H.R. 1204
Healthy Americans Act H.R. 1321
Emergency Retiree Health Benefits Protection Act H.R. 1322
Family Leave Insurance Act of 2009 H.R. 1723
Long-Term Care Affordability and Security Act of 2009 H.R. 2096
Healthy Families Act H.R. 2460
The Patients Choice Act H.R. 2520
Tax Equity for Health Plan Beneficiaries Act of 2009 H.R. 2625
Prevent application of ERISA preemption to state law causes of action - H.R. 3925
Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act of 2010 -H.R. 3962/Public Law No: 111-192
Common Sense Health Care Reform and Affordability Act H.R. 4038
American Workers, State, and Business Relief Act H.R. 4213, Unemployment Compensation Extension Act of 2010 Public Law No: 111-205
Medicare and Medicaid Extenders Act H.R. 4994
Health Care Reform regulatory implementation and compliance issues from the Patient Protection and Affordable Care Act (PPACA) Public Law No: 111-148 & the Health Care and Education Reconciliation Act of 2010 (HCERA) Public Law No: 111-152
National Commission on Fiscal Responsibility and Reform implications for benefits
Senate
Healthy Americans Act - S. 391
Long-Term Care Affordability and Security Act of 2009 S. 702
The Patients Choice Act S. 1099
Healthy Families Act S. 1152
Tax Equity for Health Plan Beneficiaries Act of 2009 S. 1153
Confidence in Long-Term Care Insurance Act S. 1177
Patient Centered Outcomes Research Act S. 1213
American Jobs Protection Act S. 3501
American Workers, State, and Business Relief Act H.R. 4213 & substitute amendment
Small Business Paperwork Relief Act S. 3946
Empowering States to Innovate Act S. 3958
Medicare and Medicaid Extenders Act H.R. 4994
Health Care Reform regulatory implementation and compliance issues from the Patient Protection and Affordable Care Act (PPACA) Public Law No: 111-148 & the Health Care and Education Reconciliation Act of 2010 (HCERA) Public Law 111-152
National Commission on Fiscal Responsibility and Reform implications for benefits
Regulatory
Proposed rule on application of ERISA to state/local health reform efforts
COBRA premium subsidy assistance extension American Recovery and Reinvestment Act of 2009 (ARRA) included in the Department of Defense Appropriations Act of 2010
Guidance for and implementation of the Patient Protection and Affordable Care Act (PPACA) & the Health Care and Education Reconciliation Act of 2010 (HCERA) employer responsibility provisions, tax treatment of certain plans, transition period and good faith compliance standard, CLASS Act provisions, Early Retiree Reinsurance Program (ERRP), retiree only plans, grandfathered plans, grandfathering rules as applied to collectively bargained health plans, coverage of adult children, medical loss ratios (MLRs), limited benefit plans, quality improvement initiatives, meaningful use rules, preventive care, preexisting conditions, annual & lifetime limits, patient protections, claims and appeals procedures, external review, health information technology & electronic health records, health literacy and insurance exchanges, wellness, tax reporting issues, non-discrimination requirements
Paul Wellstone and Pete Domenici Mental Health Parity and Addiction Equity Act (MHPAEA) of 2008 comments on Interim Final Regulations.
Health Information Technology for Economic and Clinical Health (HITECH) Act
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Labor - Dept of (DOL), Treasury - Dept of, Health & Human Services - Dept of (HHS), Centers For Medicare and Medicaid Services (CMS), Internal Revenue Service (IRS)
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 |
James |
Klein |
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Paul |
Dennett |
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Kathryn |
Wilber |
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Diann |
Howland |
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Jill |
Randolph |
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Lynn |
Dudley |
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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 |