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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 101 CONSTITUTION AVENUE, NW |
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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# 2115-12
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6. House ID# 310260000
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TYPE OF REPORT | 8. Year | 2013 |
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: David Leifer, Vice President and Associate General Counsel |
Date | 10/24/2013 |
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 CSP
16. Specific lobbying issues
Public Law 111-203, H.R. 4173- Dodd-Frank Wall Street Reform and Consumer Protection Act. Issue: Implementation and Regulatory reform.
H.R. 624 - Cyber Intelligence Sharing and Protection Act. Issue: Cybersecurity and Privacy
S. 1193 Data Security and Breach Notification Act. To require certain entities that collect and maintain personal information of individuals to secure such information and to provide notice to such individuals in the case of a breach of security involving such information, and for other purposes. Issue: Privacy
H.R. 1468 SECURE IT. Authorizes private entities to employ countermeasures and use cybersecurity systems to obtain, identify, or possess cyber threat information on its own networks or the networks of another entity with such entity's authorization. Issue: Cybersecurity and Privacy
S. 1353, the Cybersecurity Act of 2013. To provide for a voluntary public-private partnership to improve cybersecurity, and to strengthen cybersecurity research and development, workforce development and education, and public awareness and preparedness. Issue: Cybersecurity and Privacy
H.R. ____, Draft legislation authorizing the federal government to designate critical infrastructure sectors, develop voluntary standards and practices for cybersecurity, and work with private sector coordinating councils and Information Sharing and Analysis Centers (ISACs). Issue: Cybersecurity and Privacy.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
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 |
Dirk |
Kempthorne |
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Kimberly |
Dorgan |
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Maurice |
Perkins |
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Seaver |
Sowers |
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Nate |
Davern |
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Gary |
Hughes |
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Julie |
Spiezio |
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David |
Leifer |
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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
Public Law 111-203, H.R. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act. Issue: Implementation and Regulatory reform. Captive Reinsurance Transactions.
H.R. 2140, the Insurance Capital and Accounting Standards Act of 2013. Amends the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) and the Home Owners' Loan Act to make minimum leverage and risk-based capital requirements governing insurance companies under the state law also apply to insurance companies that are either depository holding companies or subsidiaries of depository holding companies. Issue: Capital Standards, Basel III
H.R. 1062, SEC Regulatory Accountability Act. Issue: SEC Rulemaking, Cost-Benefit Analysis, Derivatives
H.AMDT.64 to H.R. 1062, Amendment expresses the sense of Congress that rules adopted by the Public Company Accounting Oversight Board (PCAOB) comply with the same standards required of the SEC. It also requires the SEC to ensure that any rules adopted by the Municipal Securities Rulemaking Board (MSRB), and other national securities associations comply with the standards set forth in the bill. Issue: FINRA, Securities Rulemaking
H.R. 1564, the Audit Integrity and Job Protection Act. Amends the Sarbanes-Oxley Act of 2002 (SOX) to deny the Public Company Accounting Oversight Board any authority to require that audits conducted for a particular issuer of securities in accordance with SOX standards be conducted by specific auditors, or that such audits be conducted for an issuer by different auditors on a rotating basis. Issue: Mandatory Auditor Rotation
H.R. 2374, the Retail Investor Protection Act. To amend the Securities Exchange Act of 1934 to provide protections for retail customers, and for other purposes. Issue: Fiduciary Duties
S. 731/HR2295 , the Basel III CASE Act. Directs the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation (FDIC), and the Office of the Comptroller of the Currency, before issuing any final rule in relation to proposals they have issued for the International Basel III agreement on general risk-based capital requirements, to conduct an empirical study that includes: (1) a quantitative analysis of the rule's impact on the U.S. financial services sector, specifically community, mid-size, and regional financial institutions; and (2) a determination of the long-term impact of the rule, including changes to the current risk weight framework. Issue: Capital Standards for Community Banks
H.R 2547, the Determination of Appropriate Risk-Based Capital Requirements for Community Financial Institutions Act of 2013. To determine appropriate risk based capital requirements for community, mid-size, and regional institutions. Issue: Capital Standards for Community Banks
S. 798, TBTF Act. Requires federal banking agencies to establish capital requirements for the ratio of equity capital to total consolidated assets for all financial institutions. Issue: Capital Standards
S. 1369, a bill to provide additional flexibility to the Board of Governors of the Federal Reserve System to establish capital standards that are properly tailored to the unique characteristics of the business of insurance. Issue: Capital Standards
S. 1526, The Audit Integrity and Job Protection Act, to prevent the Public Company Accounting Oversight Board (PCAOB) from requiring public companies to use a specific auditor or to change auditors on a rotating basis. Issue: Mandatory Auditor Rotation
H.R. 2733, Defending American Taxpayers From Abusive Government Takings Act of 2013 to prohibit Fannie Mae and Freddie Mac from purchasing, the FHA from insuring, and the Department of Agriculture from guaranteeing, making, or insuring, a mortgage that is secured by a residence or residential structure located in a county in which the State has used the power of eminent domain to take a residential mortgage. Issue: Mortgage Investments
H.R. 2767, the Protect American Taxpayers & Homeowners (PATH) Act. Issue: Mortgage Investments and Government Sponsored Enterprises/Federal Home Loan Banks
Draft H.AMDT to HR 2610, Transportation, Housing & Urban Development Appropriations, to prohibit federal guarantees for mortgages seized through eminent domain. Issue: Mortgage Investments
Tracking:
H.R. 634, the Business Risk Mitigation and Price Stabilization Act of 2013. Issue: Derivatives, DFA Title VII
H.R. 677, the Inter-Affiliate Swap Clarification Act. Issue: Derivatives, DFA Title VII
H.R. 742, the Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013. Issue: Derivatives, DFA Title VII
H.R. 992, the Swaps Regulatory Improvement Act. Issue: Derivatives, DFA Title VII
H.R. 1256, the Swap Jurisdiction Certainty Act. Issue: Derivatives, DFA Title VII
H.R. 1341, the Financial Competitive Act of 2013. Issue: Derivatives, DFA Title VII
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
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 |
Dirk |
Kempthorne |
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Kimberly |
Dorgan |
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Maurice |
Perkins |
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Seaver |
Sowers |
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Nate |
Davern |
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Gary |
Hughes |
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Julie |
Spiezio |
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David |
Leifer |
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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 INS
16. Specific lobbying issues
Public Law 111-203, H.R. 4173- Dodd-Frank Wall Street Reform and Consumer Protection Act. Issue: Implementation and Regulatory reform. Captive Reinsurance Transactions.
H.R. 508, Terrorism Risk Insurance Act of 2002 Reauthorization Act of 2013. Amends the Terrorism Risk Insurance Act of 2002 to extend the Terrorism Insurance Program until December 31, 2019 (under current law the Program expires on December 31, 2014). Issue: Terrorism Insurance
H.R. 911, Competitive Health Insurance Reform Act of 201. Issue: McCarran-Ferguson Act Issues
H.R. 2140, Insurance Capital and Accounting Standards Act of 2013. Amends the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) and the Home Owners' Loan Act to make minimum leverage and risk-based capital requirements governing insurance companies under the state law also apply to insurance companies that are either depository holding companies or subsidiaries of depository holding companies. Issue: Capital Standards, Basel III
H.R. 2374, the Retail Investor Protection Act. To amend the Securities Exchange Act of 1934 to provide protections for retail customers, and for other purposes. Issue: Fiduciary Duties
S. 798, TBTF Act. Requires federal banking agencies to establish capital requirements for the ratio of equity capital to total consolidated assets for all financial institutions. Issue: Capital Standards
S. ____, Draft bill pertaining to insurance capital standards under Basel III rules. Issue: Capital Standards, Basel III
Tracking:
H.R. 1155, National Association of Registered Agents and Brokers Reform Act of 2013. Amends the Gramm-Leach-Bliley Act to repeal the contingent conditions under which the National Association of Registered Agents and Brokers (NARAB) shall not be established. Reestablishes the NARAB without contingent conditions as a nonprofit corporation to prescribe, on a multi-state basis, licensing and insurance producer qualification requirements and conditions. Issue: Agent Licensing
S. 534, National Association of Registered Agents and Brokers Reform Act of 2013. Amends the Gramm-Leach-Bliley Act to repeal the contingent conditions under which the National Association of Registered Agents and Brokers (NARAB) shall not be established. Reestablishes the NARAB without contingent conditions as a nonprofit corporation to prescribe, on a multi-state basis, licensing and insurance producer qualification requirements and conditions. Issue: Agent Licensing
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
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 |
Dirk |
Kempthorne |
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Kimberly |
Dorgan |
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Maurice |
Perkins |
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Seaver |
Sowers |
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Gary |
Hughes |
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Julie |
Spiezio |
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David |
Leifer |
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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
S. 676: Identity Theft and Tax Fraud Prevention Act of 2013. Issue: Death Master File.
S. Con. Res. 12: Resolution on Retirement Savings Incentives. Issue: retirement security.
H.R. 837: Savings for American Families' Future Act of 2013. Issue: retirement security.
H.R. 466 Social Security Death Master File Privacy Act. Issue: restrict access to Social Security Death Master File.
S. 606 Shrinking Emergency Account Losses Act. Issue: limits borrowing from 401(k) plan.
H.R. 2035: Automatic IRA Act of 2013. Issue: retirement security
H.R. 2117: Retirement Plan Simplification and Enhancement Act of 2013. Issue: retirement security
H.R. 837: Saving for American Families Future Act of 2013. Issue: Savers credit enhancement
S. 1145/H.R. 2171: Lifetime Income Disclosure Act. Issue: lifetime income illustration
S. 1270: Secure Annuities for Employee (SAFE) Act. Issue: retirement security
H.R. 8 The American Taxpayer Relief Act of 2012. Issue: Long-Term Care, repeal of the CLASS Act, LTC Commission
H.R. 2720, the Alexis Agin Identity Theft Protection Act of 2013. Issue: Death Master File.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
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 |
Dirk |
Kempthorne |
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Kimberly |
Dorgan |
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Maurice |
Perkins |
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Alane |
Dent |
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Gail |
Steinberg |
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John |
Dulmes |
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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. 1: Tax Reform Bill. ISSUE: Taxation of life insurance companies and products.
H.R. 1129: Mobile Workforce State Income Tax Simplification Act of 2013. ISSUE: Withholding from multi state employees.
Tax matters relating to life insurance as proposed in the Presidents FY2014 Budget Proposal, Treasury Greenbook, proposals as regards the fiscal cliff including but not limited to:
oModify dividends-received deduction ("DRD") for life insurance company separate accounts
ISSUE: Taxation of life insurance companies
oExpand pro rata interest expense disallowance for interest unrelated corporate-owned life insurance
ISSUE: Taxation of the business use of life insurance
oModify Rules that apply to sales of life insurance contracts
ISSUE: The compliance burden and accuracy for life insurance companies
oApplication of a Fiscal Crisis Responsibility Fee on to life insurance companies
ISSUE: Taxation of life insurance companies
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
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 |
Dirk |
Kempthorne |
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Kimberly |
Dorgan |
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Maurice |
Perkins |
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Mo |
Goff |
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John |
Dulmes |
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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 TRD
16. Specific lobbying issues
S 1114: Currency Exchange Rate Oversight Reform Act of 2013. Issue: Currency manipulation in the international market place.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
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 |
Dirk |
Kempthorne |
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Kimberly |
Dorgan |
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Maurice |
Perkins |
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Dianne |
Sullivan |
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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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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 | 3 | 5 |
2 | 4 | 6 |
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 | 5 | 9 |
2 | 6 | 10 |
3 | 7 | 11 |
4 | 8 | 12 |