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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1101 New York Avenue, NW, Suite 825 |
Address2 | |
City | Washington |
State | DC |
Zip Code | 20005 |
Country | USA |
3. Principal place of business (if different than line 2)
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Zip Code | |
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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 | 2014 |
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: Catherine Weatherford, President and CEO |
Date | 01/20/2015 |
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; proposal to create Universal, Secure, and Adaptable ("USA") Retirement Funds retirement plans; S. 2244, the Terrorism Risk Insurance Program Reauthorization Act of 2014.
Public Law 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act, implementation and regulatory reform.
Lifetime Income Disclosure Act (H.R. 2171), 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 (H.R. 2117), 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 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 2013 (S.534 and H.R.1155), 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.
The SAFE Retirement Act of 2013 (S.1270), which is legislation that includes measures to increase participation and savings in 401(k) plans, and increase access to lifetime income so that workers can enhance their retirement security.
Cooperative and Small Employer Charity Pension Flexibility Act. (S. 1302), which allows charities and cooperative associations to avert the funding rules under the Pension Protection Act (PPA) when establishing multi-employer retirement plans.
Insurance Capital Standards Clarification Act of 2014 (S. 2270).
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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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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; proposal to create Universal, Secure, and Adaptable ("USA") Retirement Funds retirement plans.
Lifetime Income Disclosure Act, legislation that proposes to amend the Employee Retirement Income Security Act of 1974 to require disclosure of lifetime income equivalents (S.1145, H.R. 2171).
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 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 2013 (H.R. 2035), 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 (H.R. 2117), legislation to improve the rules governing lifetime income products and other retirement savings vehicles.
The SAFE Retirement Act of 2013 (S.1270), which is legislation that includes measures to increase participation and savings in 401(k) plans, and increase access to lifetime income so that workers can enhance their retirement security.
Highway and Transportation Funding Act of 2014 (H.R. 5021).
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Labor - Dept of (DOL), 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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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; proposal to create Universal, Secure, and Adaptable ("USA") Retirement Funds retirement plans.
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 SAFE Retirement Act of 2013 (S.1270), which is legislation that includes measures to increase participation and savings in 401(k) plans and increase access to lifetime income so that workers can enhance their retirement security.
House Discussion Draft, Tax Reform Act of 2014.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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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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; proposal to create Universal, Secure, and Adaptable ("USA") Retirement Funds retirement plans.
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 proposed rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
The SAFE Retirement Act of 2013 (S.1270), which is legislation that includes measures to increase participation and savings in 401(k) plans, and increase access to lifetime income so that workers can enhance their retirement security.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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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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 |