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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 | 2011 |
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 | 01/20/2012 |
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 AVI
16. Specific lobbying issues
S. 1477 BARR Preservation Act of 2011; entire bill
17. House(s) of Congress and Federal agencies Check if None
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 ECN
16. Specific lobbying issues
Budget Control Act of 2011 (P.L. 112-25); provisions relating to the responsibilities of the Joint Committee on Deficit Reduction
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. 940 United States Covered Bond Act of 2011; entire bill
H.R. 1062 - Burdensome Data Collection Relief Act; provisions applicable to financial institutions
H.R. 1528 - Consumer Privacy Protection Act of 2011; provisions applicable to financial institutions
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; entire bill
H.R. 1610 - Business Risk Mitigation and Price Stabilization Act of 2011; entire bill
H.R. 2434 Financial Services and General Government Appropriations Act, 2012; report language on Volcker Rule and insurance companies general account investments
H.R. 2577 SAFE Data Act; provisions applicable to financial institutions
H.R. 2827 To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes; provisions relating to broker dealers
H.R. 3045 Retirement Income Protection Act; entire bill
H.R. 3523 - Cyber Intelligence Sharing and Protection Act of 2011; entire bill
S. 799 Commercial Privacy Bill of Rights Act of 2011; provisions affecting financial institutions
S. 1151 Personal Data Privacy and Security Act of 2011; provisions applicable to financial institutions
S. 1207 Data Security and Breach Notification Act of 2011; provisions applicable to financial institutions
S. 1434 Data Security Act of 2011; provisions applicable to financial institutions
S. 1606 Regulatory Accountability Act of 2011; entire bill
S. 1615 Financial Regulatory Responsibility Act of 2011; entire bill
Impact of the Volcker Rule on market liquidity and international competitiveness of U.S.-owned asset managers
Draft proposal by Congressman Spencer Bachus to establish a SRO for Registered Investment Advisers
Section 913 to establish a comparable standard of care for broker-dealers and registered investment advisers and inter-relationship with the DoL ERISA fiduciary 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 INS
16. Specific lobbying issues
H.R. 1026 Flood Insurance Reform Priorities Act of 2011; entire bill
H.R. 1112 - National Association of Registered Agents and Brokers Reform Act of 2011; entire bill
H.R. 1173 - Fiscal Responsibility and Retirement Security Act of 2011; provisions relating to the CLASS Act
H.R. 1309 - Flood Insurance Reform Act of 2011; entire bill
H.R. 2055 - Consolidated Appropriations Act, 2012; provisions relating to extension of the National Flood Insurance Program
H.R. 3559 Insurance Data Protection Act; entire bill
S. 1091 COASTAL Act of 2011; 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 RET
16. Specific lobbying issues
H.R. 677 - The Lifetime Income Disclosure Act; entire bill
H.R. 1534 Small Businesses Add Value for Employees (SAVE) Act; entire bill
H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings (SEAL) Act; entire bill
H.R. 3561 Small Business Pension Promotion Act of 2011; entire bill
S. 267 - Lifetime Income Disclosure Act; entire bill
S. 1020 The Savings Enhancement by Alleviating Leakage in 401(k) Savings Act; entire bill
S. 1120 Savings Enhancement by Alleviating Leakage in 401(k) Savings (SEAL) Act; entire bill
S. 1557 Automatic IRA Act of 2011; entire bill
Department of Labors proposed rule modifying the definition of ERISA fiduciary and its implications for the provision of advice on qualified retirement savings
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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 |
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. 3313 Wall Street Trading and Speculators Tax Act; entire bill
H.R. 3765 Temporary Payroll Tax Cut Continuation Act of 2011; provisions relating to payroll taxes
S. 1549 American Jobs Act; provisions relating to limitation of itemized deductions for tax-exempt interest income and certain exclusions to 28%
S. 1787 Wall Street Trading and Speculators Tax Act; entire bill
Administrations Jobs Bill; provisions limiting deductions and exclusions
Tax Reform/Deficit Reduction; provisions relating to the importance and value of existing tax incentives designed to promote long-term savings (both qualified and non-qualified) and insurance coverage protection; transitional considerations associated with tax law modifications, financial transaction tax
Estate Tax; provisions relating to the need for clarification as to post-2012 treatment as to elections made under P.L. 111-312
FATCA; provisions relating to the implications for in-bound U.S. investments and U.S.-owned asset managers compliance burdens
Congressman Dave Camps draft legislation to reform the international tax system
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 |