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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1099 New York Ave. NW |
Address2 | 6th Floor |
City | Washington |
State | DC |
Zip Code | 20001 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 317914-12
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6. House ID# 393430000
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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: Kenneth E. Bentsen, Jr. |
Date | 4/20/2021 4:18:42 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 BAN
16. Specific lobbying issues
Equity market structure issues;
LIBOR transition issues;
SEC Final Regulation Best Interest;
Implementation of Electronic Signature in Global and National Commerce Act;
Consolidated Audit Trail (CAT) - US House and US Senate;
Legislation related to changes in certain private activity bond treatment;
H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019;
Federal Reserve Board and Prudential Agency Covid-19 Actions;
S. 3550 (116th Cong.) - Municipal Bonds Emergency Relief Act;
Self-Regulatory Organization (SRO) Reform;
S. 1236 (116th Cong.) - Municipal Securities Rulemaking Board Reform Act of 2019;
S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020;
Federal government market support programs (e.g. TALF);
S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act;
H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act;
LIBOR;
Stress Testing Reform;
H.R. 2923 (116th Cong.) - Inclusive Prosperity Act of 2019;
Department of Labor - Proposed Rule - Independent Contractor Status Under the Fair Labor Standards Act;
Privacy Bills - various;
S. 479, LOCAL Infrastructure Act;
H.R. 2288, to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds;
Financial Services and General Government Appropriations Fiscal Year 2022 bill;
Secure 2.0 Legislation;
H.R. 842/S. 420 - Protecting the Right to Organize Act of 2021;
H.R. ______ - Investing in Our Communities Act;
Increase in the bank qualified bond limit - Rep. Sewell Bill;
H.R. ___/S.___ - Retirement Parity for Student Loans Act.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, Natl Economic Council (NEC), Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), Federal Reserve System, Ginnie Mae, Federal Housing Finance Agency (FHFA), 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 |
Kenneth |
Bentsen |
Jr. |
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Carter |
McDowell |
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Bradley |
Edgell |
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Chris |
Killian |
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Lindsey |
Keljo |
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Mark |
Schuermann |
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Jamie |
Wall |
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Amena |
Ross |
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Jennifer |
Bang |
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Liam |
Cardon |
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Niccole |
Rivero |
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Leslie |
Norwood |
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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 CDT
16. Specific lobbying issues
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements);
Derivatives regulation (general);
CFTC final rule on margin requirements for uncleared swaps.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, 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 |
Kenneth |
Bentsen |
Jr. |
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Carter |
McDowell |
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Bradley |
Edgell |
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Mark |
Schuermann |
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Leslie |
Norwood |
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Jamie |
Wall |
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Jennifer |
Bang |
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Amena |
Ross |
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Liam |
Cardon |
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Niccole |
Rivero |
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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. 2513 (116th Cong.) - Corporate Transparency Act of 2019;
Senior investors/diminished capacity investors;
Diversity & Inclusion initiatives in the financial services industry;
Housing finance reform (general);
H.R. 609 (116th Cong.) - Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2019;
S. 4203 (116th Cong.) - American Infrastructure Bonds Act of 2020;
H.R.6242 (116th Cong.) - SEC Relief to Slow the Spread of Coronavirus Act of 2020;
S.945/H.R. 7000 (116th Cong.) - Holding Foreign Companies Accountable Act;
H.R. 2 (116th Cong.) - Moving Forward Act;
S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act;
H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act;
H.R. 1565, Senior Security Act of 2021;
SEC Temporary Exemptive Order related to municipal advisors;
S. 856, Senior Security Act;
S. 479 LOCAL Infrastructure Act;
H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds;
Anticipated retirement legislation in the Senate;
Prime brokerage regulation;
Security-based Swaps;
Clearing and Settlement;
Margin for uncleared swaps;
Sustainable Finance;
Short Selling;
FTC Hart Scott Rodino Proposals;
H.R. 1816 - To require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes;
H.R. 1565/S.856 - Senior Security Act of 2021.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Natl Economic Council (NEC), Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR), Commerce - Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Natl Credit Union Administration (NCUA), Ginnie Mae, Homeland Security - Dept of (DHS), Natl Security Council (NSC), State - Dept of (DOS), Office of the Comptroller of the Currency (OCC), Housing & Urban Development - Dept of (HUD), Federal Housing Finance Agency (FHFA)
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 |
Kenneth |
Bentsen |
Jr. |
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Lisa |
Bleier |
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Bradley |
Edgell |
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Carter |
McDowell |
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Melissa |
MacGregor |
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Chris |
Killian |
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Peter |
Matheson |
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Lindsey |
Keljo |
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Mark |
Schuermann |
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Leslie |
Norwood |
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Jamie |
Wall |
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Jennifer |
Bang |
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Amena |
Ross |
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Justin |
Sok |
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Liam |
Cardon |
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Niccole |
Rivero |
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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. 1516/S.647 (116th Cong.) - Wall Street Tax Act of 2019;
United States individual and business taxation;
Proposals to modify tax incentives for retirement savings and investment;
Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR;
Tax Incentives to preserve interest deduction related to municipal bonds;
Tax Incentives to reinstate advance refunding bonds;
Tax Incentives to provide for direct pay municipal bonds;
Issues related to taxation of ownership of securities and securities transactions;
H.R. 3967 (116th Cong.) - Municipal Bond Market Support Act of 2019;
Proposals to expand Private Activity Bonds;
S. 3995 (116th Cong.) - the Remote and Mobile Worker Relief Act of 2020;
H.R. 2 (116th Cong.) - Moving Forward Act (municipal finance provisions);
S. 4203 (116th Cong.) - American Infrastructure Bond Act;
Public Law 116-136 - CARES Act (retirement and savings provisions);
S. 2866 (116th Cong.) - Rural Broadband Financing Flexibility Act;
H.R. 7857 (116th Cong.) - Connect America Now (CAN) Act;
S. 479, the LOCAL Infrastructure Act;
H.R. 2288, a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds;
H.R. ______ - Investing in Our Communities Act;
S. ______ - Retirement Security and Savings Act;
H.R. ___/S.___ - Retirement Parity for Student Loans Act;
H.R. ______ - Securing a Strong Retirement Act.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Natl Security Council (NSC), Securities & Exchange Commission (SEC), 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 |
Kenneth |
Bentsen |
Jr. |
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Carter |
McDowell |
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Bradley |
Edgell |
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Lisa |
Bleier |
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John |
Maurello |
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Tracy |
Eichler |
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Jillian |
Enoch |
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Lindsey |
Keljo |
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Mark |
Schuermann |
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Leslie |
Norwood |
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Jamie |
Wall |
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Jennifer |
Bang |
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Amena |
Ross |
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Justin |
Sok |
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Liam |
Cardon |
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Niccole |
Rivero |
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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
Tax incentives for retirement savings;
SEC Final Regulation Best Interest;
Electronic delivery of retirement plan documents and disclosures;
SECURE Act 2.0, not yet introduced (provisions relating to RMD safe harbor and age increase, employer matching incentives, catch-up contribution increases, and student loan payments);
ESG Investing relating to retirement accounts;
S. ______ - Retirement Security and Savings Act;
H.R. ___/S.___ - Retirement Parity for Student Loans Act;
H.R. ______ - Securing a Strong Retirement Act.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), 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 |
Kenneth |
Bentsen |
Jr. |
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Lisa |
Bleier |
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Carter |
McDowell |
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Bradley |
Edgell |
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Tracy |
Eichler |
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Jillian |
Enoch |
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Mark |
Schuermann |
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Jamie |
Wall |
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Jennifer |
Bang |
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Amena |
Ross |
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Liam |
Cardon |
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Niccole |
Rivero |
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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) |