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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 | 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 |
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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: Catherine Weatherford, President & CEO |
Date | 7/14/2016 4:24:20 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
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Obama 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.
Lifetime Income Disclosure Act (114th Cong., H.R. 2317 and S.1317), legislation that proposes to amend the Employee Retirement Income Security Act of 1974 to require disclosure of lifetime income equivalents.
The Retirement Plan Simplification and Enhancement Act of 2013 (113th Cong.), legislation to improve the rules governing lifetime income products and other retirement savings vehicles.
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.
Proposals at the Securities and Exchange Commission for a potential rulemaking on the harmonization of the standard of care for investment advisors and broker-dealers.
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.
Securities and Exchange Commission proposed rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
National Association of Registered Agents and Brokers Reform Act of 2015 (114th Cong.), commonly known as NARAB II, which is legislation to reform the National Association of Registered Agents and Brokers to provide for streamlined non-resident insurance agent and broker licensing.
Proposal with the Securities and Exchange Commission for a rulemaking to provide for the acceptance of a summary prospectus for variable annuities.
Terrorism Risk Insurance Program Reauthorization Act of 2015 (P.L. 114-1).
Retirement Security Act of 2015 (H.R. 557, S.266), expand the ability of Americans to better save for their retirement and encourage the use of private multiple employer plans.
International Insurance Standards Transparency Act (H.R. 2141).
The Retail Investor Protection Act (H.R. 1090, S. 2497), DOL fiduciary rulemaking.
The Retirement Choice Protection Act (H.R. 3922), DOL fiduciary rulemaking.
The Affordable Retirement Advice Protection Act (H.R. 4293, S.2502), DOL fiduciary rulemaking.
The SAVERS Act (H.R. 4294, S.2505), DOL fiduciary rulemaking.
The SAVE Act (H.R. 4067), improve existing SIMPLE IRA and SIMPLE 401(k) retirement plans to make it easier for small businesses to offer savings plans to their employees.
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 |
Lee |
Covington |
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Michael |
Lenn |
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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
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Obama Administration and Congressional proposals on tax reform.
Lifetime Income Disclosure Act of 2015, legislation that proposes to amend the Employee Retirement Income Security Act of 1974 to require disclosure of lifetime income equivalents (114th Cong., H.R. 2137, S.1317).
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.
Securities and Exchange Commission proposed rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
Automatic IRA Act of 2015 (114th Cong., H.R. 506), legislation that Amends the Internal Revenue Code to: (1) require certain employers who do not maintain qualified retirement plans or arrangements to make available to their eligible employees a payroll deposit individual retirement account (IRA) arrangement (automatic IRA arrangement) which grants such employees the right to opt-out of participation.
Retirement Plan Simplification and Enhancement Act of 2013 (113th Cong.), legislation to improve the rules governing lifetime income products and other retirement savings vehicles.
Retirement Security Act of 2015 (H.R. 557, S.266), expand the ability of Americans to better save for their retirement and would encourage the use of private multiple employer plans.
Department of Labor rules for states to create retirement savings programs.
The Retail Investor Protection Act (H.R. 1090, S.2497), DOL fiduciary rulemaking.
The Retirement Choice Protection Act (H.R. 3922), DOL fiduciary rulemaking.
The Affordable Retirement Advice Protection Act (H.R. 4293, S.2502), DOL fiduciary rulemaking.
The SAVERS Act (H.R. 4294, S.2505), DOL fiduciary rulemaking.
The Consolidated Omnibus Appropriations Act (H.R. 2029), DOL fiduciary rulemaking.
The SAVE Act (H.R. 4067), improve existing SIMPLE IRA and SIMPLE 401(k) retirement plans to make it easier for small businesses to offer savings plans to their employees.
Womens Pension Protection Act (S.2110), strengthen consumer protections to safeguard retirement savings, improve access to retirement savings plans for long-term, part-time workers - the majority of whom are women - and help increase womens financial literacy.
The Senior$afe Act (H.R. 4538, S.2216), clarify existing laws to allow and encourage financial service representatives at banks and credit unions, investment advisors, and broker-dealers to report suspected financial fraud targeting seniors to regulators, law enforcement, or adult protective service agencies.
The Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 2656), amends ERISA of 1974 and IRC of 1986 to provide for electronic delivery of pension plan information.
The Retirement Savings Lost and Found Act of 2016 (S.3078), to increase the portability of and access to retirement savings.
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 |
Lee |
Covington |
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Michael |
Lenn |
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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 Obama 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 Treasurys Longevity Annuity Contracts Notice of Proposed Rulemaking (REG-115809-11).
The Retirement Choice Protection Act (H.R. 3922), DOL fiduciary rulemaking.
The SAVERS Act (H.R. 4294, S.2505), DOL fiduciary rulemaking.
The SAVE Act (H.R. 4067), improve existing SIMPLE IRA and SIMPLE 401(k) retirement plans to make it easier for small businesses to offer savings plans to their employees.
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 |
Lee |
Covington |
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Michael |
Lenn |
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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
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Obama 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 Securities and Exchange Commission for a potential rulemaking on the harmonization of the standard of care for investment advisors and broker-dealers.
Proposal with the Securities and Exchange Commission for a rulemaking to provide for the acceptance of a summary prospectus for variable annuities.
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.
Securities and Exchange Commission proposed rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
The Retail Investor Protection Act (H.R. 1090, S.2497), DOL fiduciary rulemaking.
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 |
Lee |
Covington |
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Michael |
Lenn |
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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:
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 |