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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1100 Vermont Avenue, NW |
Address2 | 10th Floor |
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# 285494-12
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6. House ID# 369900000
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TYPE OF REPORT | 8. Year | 2019 |
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: Wayne Chopus, President & CEO |
Date | 4/19/2019 12:50:41 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 INS
16. Specific lobbying issues
SEC Proposed Regulation Best Interest (17 CFR Part 240).
SEC Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation (17 CFR Part 275).
SEC Proposed Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles (17 CFR Parts 240, 249, 275 and 279).
DOL EBSA Proposed Definition of Employer under Section 3(5) of ERISA - Association Retirement Plans and Other Multiple-Employer Plans Rule (29 CFR Part 2510).
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform. Public Law 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act of 2013, implementation and regulatory reform.
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions.
Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions.
Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
Setting Every Community Up for Retirement Enhancement (SECURE) Act (H.R. 1994 - 116th Congress).
Women's Retirement Protection Act (S.975/H.R. 2005 - 116th Congress).
Retirement Enhancement and Savings Act (S.972/H.R. 1007 - 116th Congress).
A bill to provide for an additional nondiscrimination safe harbor for automatic contribution arrangements (S.1020 - 116th Congress).
A bill to amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the requirements for multiple employer plans, and for other purposes (S.1011 - 116th Congress).
A bill to avoid duplicative annual reporting under the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974, and for other purposes (S.354/H.R. 982 - 116th Congress).
Increasing Access to a Secure Retirement Act (H.R. 1439 - 116th Congress).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Treasury - Dept of, 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 |
Paul |
Richman |
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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
DOL - EBSA Proposed Definition of Employer under Section 3(5) of ERISA - Association Retirement Plans and Other Multiple-Employer Plans Rule (29 CFR Part 2510).
SEC Proposal - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (17 CFR Parts 230, 232, 239, 240, 270, and 274).
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform.
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions.
Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions.
Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
The Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 4610 - 115th Congress).
The Lifetime Income Disclosure Act (S.868/H.R. 2055 - 115th Congress).
The Automatic Retirement Plan Act of 2017 (H.R. 4523 - 115th Congress).
The Retirement Plan Simplification Act of 2017 (H.R. 4524 - 115th Congress).
Elder Protection and Abuse Prevention Act (H.R. 6744 - 115th Congress).
Setting Every Community Up for Retirement Enhancement (SECURE) Act (H.R. 1994 - 116th Congress).
Women's Retirement Protection Act (S.975/H.R. 2005- 116th Congress).
Retirement Enhancement and Savings Act (S.972/H.R. 1007 - 116th Congress).
A bill to provide for an additional nondiscrimination safe harbor for automatic contribution arrangements (S.1020 - 116th Congress).
A bill to establish the Refund to Rainy Day Savings Program (S.1018 - 116th Congress).
A bill to amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the requirements for multiple employer plans, and for other purposes (S.1011 - 116th Congress).
A bill to allow employers to offer short-term savings accounts with automatic contribution arrangements for financial emergencies (S.1019 - 116th Congress).
Savings for the Future Act (H.R. 2120 - 116th Congress).
Social Security 2100 Act (S.269/H.R. 860 - 116th Congress).
SIMPLE Plan Modernization Act (S.322 - 116th Congress).
Retirement Security Act of 2019 (S.321 - 116th Congress).
Surviving Widow(er) Income Fair Treatment (SWIFT) Act (S.345 - 116th Congress).
Increasing Access to a Secure Retirement Act (H.R. 1439 - 116th Congress).
SEC Disclosure Effectiveness Testing Act (H.R. 1815 - 116th Congress).
Retirement Security for American Workers Act (H.R. 1907 - 116th Congress).
Senior Security Act (H.R. 1876 - 116th Congress).
A bill to avoid duplicative annual reporting under the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974, and for other purposes (S.354/H.R. 982 - 116th Congress).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Labor - Dept of (DOL), Treasury - Dept of, Securities & Exchange Commission (SEC)
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 |
Paul |
Richman |
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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
Legislation and rulemaking affecting annuities, variable life products and retirement savings, including Trump Administration and Congressional proposals on tax reform.
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions that proposed changes to the Internal Revenue Code, including, but not limited to, the Department of the Treasury's Longevity Annuity Contracts Notice of Proposed Rulemaking (REG-115809-11).
The Automatic Retirement Plan Act of 2017 (H.R. 4523 - 115th Congress).
The Retirement Plan Simplification Act of 2017 (H.R. 4524 - 115th Congress).
The Receiving Electronic Statements To Improve Retiree Earnings Act (H.R. 4610 - 115th Congress).
Setting Every Community Up for Retirement Enhancement (SECURE) Act (H.R. 1994 - 116th Congress).
Women's Retirement Protection Act (S.975/H.R. 2005 - 116th Congress).
Retirement Enhancement and Savings Act (S.972/H.R. 1007 - 116th Congress).
A bill to provide for an additional nondiscrimination safe harbor for automatic contribution arrangements (S.1020 - 116th Congress).
A bill to establish the Refund to Rainy Day Savings Program (S.1018 - 116th Congress).
A bill to amend the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974 to modify the requirements for multiple employer plans, and for other purposes (S.1011 - 116th Congress).
A bill to allow employers to offer short-term savings accounts with automatic contribution arrangements for financial emergencies (S.1019 - 116th Congress).
Savings for the Future Act (H.R. 2120 - 116th Congress).
Social Security 2100 Act (S.269/H.R. 860 - 116th Congress).
SIMPLE Plan Modernization Act (S.322 - 116th Congress).
Retirement Security Act of 2019 (S.321 - 116th Congress).
Surviving Widow(er) Income Fair Treatment (SWIFT) Act (S.345 - 116th Congress).
Wall Street Tax Act of 2019 (S.647/H.R. 1516 - 116th Congress).
Retirement Security for American Workers Act (H.R. 1907 - 116th Congress).
A bill to avoid duplicative annual reporting under the Internal Revenue Code of 1986 and the Employee Retirement Income Security Act of 1974, and for other purposes (S.354/H.R. 982 - 116th Congress).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Paul |
Richman |
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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
SEC Proposed Regulation Best Interest (17 CFR Part 240).
SEC Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation (17 CFR Part 275).
SEC Proposed Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles (17 CFR Parts 240, 249, 275 and 279).
SEC Proposal Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (17 CFR Parts 230, 232, 239, 240, 270, and 274).
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform.
Public Law 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act, implementation and regulatory reform.
Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption.
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions.
Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions.
Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
Elder Protection and Abuse Prevention Act (H.R. 6744 - 115th Congress).
Consumer Data Privacy Act - (Sen. Wyden (D-OR) - Discussion Draft).
Consumer Information Notification Requirement Act (H.R. 6743 - 115th Congress).
A bill to establish the Refund to Rainy Day Savings Program (S.1018 - 116th Congress).
A bill to allow employers to offer short-term savings accounts with automatic contribution arrangements for financial emergencies (S.1019 - 116th Congress).
Wall Street Tax Act of 2019 (S.647/H.R. 1516 - 116th Congress).
SEC Disclosure Effectiveness Testing Act (H.R. 1815 - 116th Congress).
Senior Security Act (H.R. 1876 - 116th Congress).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Treasury - Dept of, 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 |
Paul |
Richman |
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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:
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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) |