|
LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1101 New York Ave. NW |
Address2 |
|
City | Washington |
State | DC |
Zip Code | 20005 |
Country | USA |
3. Principal place of business (if different than line 2)
City |
|
State |
|
Zip Code |
|
Country |
|
|
5. Senate ID# 317914-12
|
||||||||
|
6. House ID# 393430000
|
TYPE OF REPORT | 8. Year | 2016 |
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 | |||||||||
---|---|---|---|---|---|---|---|---|---|
12. Lobbying | 13. Organizations | ||||||||
INCOME relating to lobbying activities for this reporting period was: | EXPENSE relating to lobbying activities for this reporting period were: | ||||||||
|
|
||||||||
|
|
||||||||
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 | 4/20/2016 6:19:47 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
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act);
H.R. 1491 (Partnership to Strengthen Homeownership Act of 2015);
H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015);
H.R. 1839 (RAISE Act of 2015);
H.R. 2209 (To require the appropriate Federal banking agencies to treat certain municipal obligations as level 2A liquid assets, and for other purposes);
H.R. 2947 (Financial Institution Bankruptcy Act);
H.R. 4096 (Investor Clarity and Bank Parity Act);
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation;
Housing finance issues (General);
Government Sponsored Enterprise (GSE) Reform;
Strategic plan for conservatorships of the GSEs;
Equity market structure issues;
Capital standards;
Fixed income market structure;
Liquidity coverage ratio for municipal bonds;
Single Security/Common Securitization Platform (Federal Housing Finance Agency);
Federal Reserve Total Loss Absorbing Capacity (TLAC) proposal;
Federal Reserve G-SIB capital surcharge;
Federal Reserve liquidity coverage ratio (LCR)/net stable funding ratio (NSFR);
Section 956 of the Dodd-Frank Act;
Fixed Income Investments Liquidity;
Venture Exchange discussion drafts;
China banking regulation;
GSE risk transfer;
Municipal Finance Caucus.
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)
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. |
|
|
Carter |
McDowell |
|
|
|
Dave |
Oxner |
|
|
|
Kevin |
Carroll |
|
|
|
Joseph |
Vaughan |
|
|
|
Bradley |
Edgell |
|
|
|
Chris |
Killian |
|
|
|
Andy |
Blocker |
|
|
|
Jennifer |
Flitton |
|
|
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
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act);
H.R. 1163 (Futures Investor Protection Act);
H.R. 2289 (Commodity End-User Relief Act);
S. 174 (Stop Tax Haven Abuse Act);
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Regulatory rulemaking regarding swap dealer capital requirements and margin segregation);
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading,
clearing, and reporting requirements);
Commodity Exchange Act (CEA) Reauthorization;
Core Principles and Other Requirements for Swap Execution Facilities (SEF Final Rule);
CFTC Cross-border Guidance and Exemptive Order (13-69);
Make available to trade determination for Swap Execution Facilities (SEFs);
Position limits;
Jumpstart Our Business Startups (JOBS) Act implementation;
Concept Release on Risk Controls and System Safeguards for Automated Trading Environments;
Block trades;
Transaction-Level Requirements in Certain Cross-Border Situations (CFTC letters Nos. 13-17 and 14-01);
CFTC Regulation 1.35;
Block trades on swap execution facilities (SEFs);
Liquidity coverage ratio (LCR) as it relates to commodities;
Commodities (general);
CFTC no action relief for packaged trades;
Security based swaps rules under Title VII;
Dodd-Frank Title VII;
Derivatives regulation (general);
Federal Reserve commodities advance notice of proposed rulemaking (ANPR);
CFTC Letter 14-140 on transaction-level requirements in certain cross-border situations;
Inter-affiliate swap transaction;
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. |
|
|
Carter |
McDowell |
|
|
|
Dave |
Oxner |
|
|
|
Michael |
Decker |
|
|
|
Bradley |
Edgell |
|
|
|
Kyle |
Brandon |
|
|
|
Joseph |
Vaughan |
|
|
|
Andy |
Blocker |
|
|
|
Jennifer |
Flitton |
|
|
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. 22 (Developing a Reliable and Innovative Vision for the Economy Act);
H.R. 37 (Promoting Job Creation and Reducing Small Business Burdens Act);
H.R. 50 (Unfunded Mandates Information and Transparency Act of 2015);
H.R. 414 (Burdensome Data Collection Relief Act);
H.R. 432 (SBIC Advisers Relief Act of 2015);
H.R. 644 (Trade Facilitation and Trade Enforcement Act of 2015);
H.R. 686 (Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2015);
H.R. 897 (Reducing Regulatory Burdens Act of 2015);
H.R. 989 (Capital Access for Small Businesses and Jobs Act);
H.R. 1090 (Retail Investor Protection Act);
H.R. 1098 (Investor Choice Act of 2015);
H.R. 1163 (Futures Investor Protection Act);
H.R. 1295 (Trade Preferences Extension Act of 2015);
H.R. 1314 (Trade Act of 2015);
H.R. 1334 (Holding Company Registration Threshold Equalization Act of 2015);
H.R. 1525 (Disclosure Modernization and Simplification Act of 2015);
H.R. 1550 (Financial Stability Oversight Council Improvement Act of 2015);
H.R. 1659 (Improving Access to Capital for Emerging Growth Companies Act);
H.R. 1675 (Encouraging Employee Ownership Act of 2015);
H.R. 1723 (Small Company Simple Registration Act of 2015);
H.R. 1890 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015);
H.R. 1982 (Restoring Main Street Investor Protection and Confidence Act);
H.R. 2356 (Fair Access to Investment Research Act of 2015);
H.R. 3738 (Office of Financial Research Accountability Act of 2015);
H.R. 3340 (Financial Stability Oversight Council Reform Act);
H.R. 4538 (Senior$afe Act of 2016);
S. 67 (Restoring Main Street Investor Protection and Confidence Act);
S. 115 (Fair Tax Act of 2015);
S. 153 (I-Squared Act of 2015);
S. 161 (Paying a Fair Share Act of 2015);
S. 305 (American Job Protection Act);
S. 576 (Encouraging Employee Ownership Act);
S. 995 (Bipartisan Congressional Trade Priorities and Accountability Act of 2015);
S. 1484 (Financial Regulatory Improvement Act of 2015);
S. 2216 (Senior$afe Act of 2015);
S. 2497 (Retail Investor Protection Act of 2016);
Swap dealer and major swap participant recordkeeping and reporting, duties, and conflicts of interest policies and procedures;
Swap execution facilities;
Swap dealer, major swap participant, and futures commission merchant chief compliance officer;
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (including Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion); Section 621; Section 941; Title I and Title II);
Systemic Risk Regulation and liquidation authority;
Market Structure Issues (dark pools, flash quotes, high frequency trading);
China - strategic and economic dialogue;
Bilateral Investment Treaties, India, China;
Transpacific Partnership;
India Market Access Issues;
European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets;
Basel Capital Rules;
Basel Securitization Framework;
TransAtlantic Trade and Investment Partnership (TTIP);
India Financial Sector Reform;
Accounting standards for municipalities;
Securities Investor Protection Corporation (SIPC) reform and funding fees;
Bankruptcy reform for municipalities;
Support of financial literacy;
Privacy and cybersecurity issues (general);
Municipal advisor regulation;
CFTC cross-border guidance exemptive order;
Financial Stability Oversight Council (FSOC);
FSOC consideration of systemically important financial institutions (SIFIs);
FSOC Transparency Policy;
CFTC exemptive order on extraterritorial scope of Title VII;
Legal entity identifier (LEI);
Jumpstart our Business Startups (JOBS) Act implementation;
Basel Committee on Banking Supervision (BCBS) and International Organization of Securities Commissions (IOSCO)
consultation paper on margin requirements for uncleared derivatives;
Commodity Pools and Securitization;
Securities and Exchange Commission Rules 15Ba1-1 through 15Ba1-8;
CFTC recordkeeping requirements (CEA Section 23.201);
Leverage capital requirements;
Release No. 34-71958, Security-Based Swap Dealers Recordkeeping;
Recordkeeping Requirements; Rules 17a-3, 17a-4 (Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority);
Regulation AB II (asset backed securities - Securities and Exchange Commission, Consumer Financial Protection Bureau);
CFTC proposed rule on margin requirements for uncleared swaps;
Prudential Regulator's proposed rule on margin requirements for uncleared swaps;
Futures Commission Merchant and Introducing Broker Conflicts of Interest Policies and Procedures;
Inter-affiliate swap transactions;
Securities and Exchange Commission proposed rule on margin requirements for uncleared swaps;
U.S./EU cross-border regulatory issues;
Trade policy issues (general);
Market data (Exchange Act Section 19 and related rules);
China "Secure and Controllable" information and communication technologies (ICT) regulations.
Mutual Fund 12b-1 Fees;
Senior investors/diminished capacity investors;
Broker-dealers/investment advisers mitigation of accounts;
Basel III Liquidity Coverage Ratio rules;
Public Company Accounting Oversight Board small broker/dealer exemption;
U.S./EU financial markets regulatory dialogue;
Trade and international issues (general);
Diversity (general);
National Market System (NMS) discussion draft;
Data localization requirements in the Trans-Pacific Partnership.
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. |
|
|
Michael |
Decker |
|
|
|
Lisa |
Bleier |
|
|
|
Bradley |
Edgell |
|
|
|
Kevin |
Carroll |
|
|
|
Joseph |
Vaughan |
|
|
|
Kyle |
Brandon |
|
|
|
Carter |
McDowell |
|
|
|
Dave |
Oxner |
|
|
|
Melissa |
MacGregor |
|
|
|
Chris |
Killian |
|
|
|
Payson |
Peabody |
|
|
|
Andy |
Blocker |
|
|
|
Peter |
Matheson |
|
|
|
Jennifer |
Flitton |
|
|
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. 915 (Voices for Veterans Act);
H.R. 1295 (Trade Preferences Extension Act of 2015);
H.R. 2229 (Municipal Bond Market Support Act of 2015);
H.R. 2483 (Independent Contractor Tax Fairness and Simplification Act of 2015);
S. 161 (Paying a Fair Share Act of 2015);
S. 174 (Stop Tax Haven Abuse Act);
S. 351 (Mortgage Debt Tax Relief Act);
S. 922 (Corporate Tax Dodging Prevention Act);
S. 1186 (Move America Act of 2015);
S. 2252 (Fair Playing Field Act of 2015);
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation;
U.S. and foreign Financial Transaction Tax Legislation Proposals;
Tax issues related to standardization of credit default swaps and derivatives transactions;
Extension of Active Financing Rules;
Administration's Financial Crisis Responsibility Fee;
Tax issues related to interest expense allocation;
Tax treatment of capital gains and dividends;
Tax classification of independent contractors;
Taxation of cross-border equity swaps;
Corporate tax reporting rules;
Tax reporting requirements for foreign financial institutions on certain foreign accounts;
Foreign Account Tax Compliance Act of 2010 (FATCA);
Securities cost basis reporting regulations;
International tax reform;
United States individual and business taxation;
Preservation of tax incentives for retirement plans;
Tax Reform Act of 2014;
Issues related to proposals to impose an asset tax on financial institutions;
Issues related to proposals to limit the deductability or risk fee of FDIC assessments;
Income tax withholding with respect to I.R.C. 305(c) deemed dividends;
Tax Reform Legislation;
Financial Transaction Tax (FTT).
Issues related to extraterritorial application in the U.S. of foreign FTTs and FTT proposals;
Issues related to taxation of negative interest payments;
Issues related to the taxation of Total Loss Absorbency Capacity (TLAC) securities;
Issues related to taxation of securities transactions, including market to market for derivatives;
Draft legislation to prevent identity theft and tax refund fraud (Form 1099 accelerated filing dates);
Achieving a Better Life Experience (ABLE) Act implementation;
IRS regulations on dividend equivalents under Section 871(m);
U.S. Treasury participation in Organisation for Economic Co-operation and Development discussions regarding deductibility of interest for financial firms;
Tax treatment of municipal bond interest.
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. |
|
|
Payson |
Peabody |
|
|
|
Carter |
McDowell |
|
|
|
Bradley |
Edgell |
|
|
|
Joseph |
Vaughan |
|
|
|
Michael |
Decker |
|
|
|
Dave |
Oxner |
|
|
|
Lisa |
Bleier |
|
|
|
John |
Maurello |
|
|
|
Tracy |
Eichler |
|
|
|
Jillian |
Enoch |
|
|
|
Andy |
Blocker |
|
|
|
Jennifer |
Flitton |
|
|
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. 557 (Retirement Security Act of 2015);
H.R. 637 (Permanent IRA Charitable Contribution Act of 2015);
H.R. 1090 (Retail Investor Protection Act);
H.R. 2656 (Receiving Electronic Statements To Improve Retiree Earnings Act);
H.R. 4114 (First Time Homeowner Savings Plan Act);
H.R. 4293 (Affordable Retirement Advice Protection Act);
H.R. 4294 (SAVERS Act of 2015);
S. 266 (Retirement Security Act of 2015);
S. 2216 (Senior$afe Act of 2015);
S. 2502 (Affordable Retirement Advice Protection Act);
S. 2505 (SAVERS Act of 2016);
SAFE Retirement Act (not yet reintroduced);
DOL ERISA Fiduciary Duty Rulemaking;
Sense of Congress resolution to preserve tax incentives;
Preservation of tax incentives for retirement plans;
Policy relating to increasing retirement security through voluntary automatic IRA and open multiple employer plans (MEPs).
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. |
|
|
Lisa |
Bleier |
|
|
|
Kyle |
Brandon |
|
|
|
Carter |
McDowell |
|
|
|
Joe |
Vaughan |
|
|
|
Michael |
Decker |
|
|
|
Bradley |
Edgell |
|
|
|
Dave |
Oxner |
|
|
|
Tracy |
Eichler |
|
|
|
Jillian |
Enoch |
|
|
|
John |
Maurello |
|
|
|
Andy |
Blocker |
|
|
|
Jennifer |
Flitton |
|
|
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
Address |
|
||||||
City |
|
State |
|
Zip Code |
|
Country |
|
21. Client new principal place of business (if different than line 20)
City |
|
State |
|
Zip Code |
|
Country |
|
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
|
|
||||||||
1 |
|
3 |
|
||||||
2 |
|
4 |
|
ISSUE UPDATE
24. General lobbying issue that no longer pertains
|
|
|
|
|
|
|
|
|
AFFILIATED ORGANIZATIONS
25. Add the following affiliated organization(s)
Internet Address:
Name | Address |
Principal Place of Business (city and state or country) |
||||||||||||
| ||||||||||||||
|
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 | ||||||||||
| ||||||||||||||
|
% |
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 |