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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 Ave, NW |
Address2 | Suite 800 |
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# 317914-12
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6. House ID# 393430000
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TYPE OF REPORT | 8. Year | 2009 |
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: Scott DeFife, Senior Managing Director |
Date | 10/20/2009 |
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. 1 (The American Recovery and Reinvestment Act of 2009) (foreclosure avoidance and loan modifications);
H.R. 200 (Helping Families Save Their Homes in Bankruptcy Act);
H.R. 225 (Emergency Homeownership and Equity Protection Act);
H.R. 230 (Housing Opportunity and Mortgage Equity Act of 2009) (foreclosure avoidance and loan modifications);
H.R. 384 (TARP Reform and Accountability Act) (foreclosure avoidance and loan modifications);
H.R. 703 (Legislation to promote bank liquidity and lending through deposit insurance, the HOPE for Homeowners Program, and other enhancements);
H.R. 786 (To make permanent the temporary increase in deposit insurance coverage, and for other purposes);
H.R. 787 (to make improvements in the Hope for Homeowners Program) (foreclosure avoidance and loan modifications);
H.R. 788 (To provide a safe harbor for mortgage servicers who engage in specified mortgage loan modifications, and for other purposes);
H.R. 1106 (Helping Families Save Their Homes Act) (foreclosure avoidance and loan modifications);
H.R. 1728 (To amend the Truth in Lending Act to reform consumer mortgage practices and provide accountability for such practices, to provide certain minimum standards for consumer mortgage loans, and for other purposes) (mortgage reform);
H.R. 1758 (Mortgage Reform and Anti-predatory Lending Act of 2009);
S. 61 (Helping Families Save Their Homes in Bankruptcy Act);
S. 376 (Real Estate Mortgage Investment Conduit Improvement Act of 2009);
Housing Affordability and Stability Plan;
Credit Rating Agency Reform;
H.R. 1020 (Arbitration Fairness Act of 2009);
S. 931 (Arbitration Fairness Act of 2009);
S. 896 (Helping Families Save Their Homes Act);
Student loans (special allowance payment rates);
S. 1731 (To require certain mortgages to make loan modifications and establish grant programs for state and local government mediation programs);
S. 1540 (To provide for enhanced authority of the FDIC to act as receiver for certain affiliates of depository institutions);
H.R. 3451 (To require mortgagees for mortgages in default to engage in reasonable loss mitigation activities);
S. 1073 (Rating Accountability and Transparency Enhancement Act of 2009).
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 Commission (FDIC)
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 |
Scott |
DeFife |
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Kenneth |
Bentsen |
Jr. |
Member of Congress, 1995-2003 |
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Tim |
Ryan |
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Margaret |
Simmons |
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Joseph |
Vaughan |
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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
H.R. 977 (Derivatives Markets Transparency and Accountability Act of 2009) (derivatives regulation);
S. 272 (Derivatives Trading Integrity Act of 2009) (derivatives regulation);
Regulation of OTC derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements);
H.R. 2454 (American Clean Energy and Security Act of 2009)(sections 342 and 351 through 360 - derivatives regulation);
S. 1412 (Commodity Speculation Reform Act of 2009);
S. 1691 (To regulate derivatives markets);
H.R. 3300 (Derivative Trading Accountability and Disclosure Act);
S. 1691 (Comprehensive Derivatives Regulation Act of 2009);
Title VII (Over-the-Counter Derivatives Markets Act of 2009 - Treasury Department's draft legislation);
H.R. 977 (Derivatives Markets Transparency and Accountability Act of 2009).
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Commission (FDIC), Office of Thrift Supervision (OTS), Federal Reserve System
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 |
Scott |
DeFife |
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Kenneth |
Bentsen |
Jr. |
Member of Congress, 1995-2003 |
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Tim |
Ryan |
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Margaret |
Simmons |
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Cory |
Strupp |
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Randall |
Drain |
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Nathaniel |
Emodi |
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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. 1 (The American Recovery and Reinvestment Act of 2009) (amendment to section 111 of EESA) (H1-B);
H.R. 302 (To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities);
H.R. 1260 (Patent Reform Act);
H.R. 1424 (Emergency Economic Stabilization Act);
H.R. 1575 (End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act);
H.R. 1664 (To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards) (restrictions on compensation);
H.R. 1669 (To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes);
S. 515 (Patent Reform Act);
S. 651 (Compensation Fairness Act of 2009);
European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets;
G-20 (Issues related to the November 15, 2008 "Washington Action Plan");
H.R. 2589 (The Municipal Bond Insurance Enhancement Act of 2009);
H.R. 2549 (The Municipal Bond Fairness Act);
H.R. 2550 (The Municipal Advisers Regulation Act);
H.R. 2551 (The Municipal Market Liquidity Enhancement Act of 2009);
Resolution Authority for Systemically Significant Financial Companies Act of 2009;
Systemic Risk Regulation;
Troubled Asset Backed Securities Loan Facility (H-1B);
H.R. 2221 (Data Accountability and Trust Act);
H.R. 2896 (Equal Treatments Of Covered Bonds Act of 2009);
State Regulation of Credit Default Swaps as Insurance;
S. 386 (Fraud Enforcement and Recovery Act);
PPIP Investor and Asset Manager Requirements;
S. 961 (Authorizing the Regulation of Swaps Act);
H.R. 1944 (Active Financing Rules);
China - strategic and economic dialog;
H.R. 3306 (to enhance Social Security account number privacy protections);
S. 1551 (Liability for Aiding and Abetting Securities Violations of 2009);
S. 1682 (to provide the CFTC with antimarket manipulation authority);
Market Structure Issues (dark pools, flash quotes, high frequency trading);
H.R. 3269 (Corporate and Financial Institution compensation Fairness Act of 2009);
H.R. 1020 (Arbitration Fairness Act of 2009);
S. 931 (Arbitration Fairness Act of 2009);
Transatlantic Economic Council (Trade Issues);
H.R. 3310 (To reform the financial regulatory system of the United States);
H.R. 3145 (Credit Default Swap Prohibition Act of 2009);
H.R. 3126 (Consumer Financial Protection Agency Act of 2009);
S. 773 (Cyber Security Act of 2009);
S. 1490 (Personal Data Privacy and Security Act of 2009);
Preservation of independent contractor status for financial services sector;
Bilateral Investment Treaties, India;
Asian Pacific Economic Council Privacy Issues.
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), Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR), Commerce - Dept of (DOC), Commodity Futures Trading Commission (CFTC)
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 |
Scott |
DeFife |
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Kenneth |
Bentsen |
Jr. |
Member of Congress, 1995-2003 |
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Tim |
Ryan |
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Cory |
Strupp |
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Margaret |
Simmons |
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David |
Strongin |
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Elizabeth |
Varley |
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Randall |
Drain |
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Shahira |
Knight |
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Joseph |
Vaughan |
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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. 2452 (Net Operating Loss (NOL) Carryback Act);
Administration's FY2010 International Tax Proposals;
Administration's FY2010 and Senate Finance Committee discussion draft offshore tax compliance proposals;
S. 506 (Stop Tax Haven Abuse Act) (Administration's FY2010 dividend witholding proposals);
H.R. 1256 (Family Smoking Prevention and Tobacco Control Act) (Administration's FY2010 dividend witholding proposals);
Tax issues related to standardization of credit default swaps;
Tax issues related to implementation of charge for failure to deliver Treasury securities;
Extension of Active Financing Rules (bill not yet introduced);
H.R. 3408 (Taxpayer Responsibility, Accountability, and Consistency Act of 2009);
Securitization reform.
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 |
Scott |
DeFife |
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Shahira |
Knight |
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Kenneth |
Bentsen |
Jr. |
Member of Congress, 1995-2003 |
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Tim |
Ryan |
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Elizabeth |
Varley |
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Margaret |
Simmons |
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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
H.R. 1984 (401(k) Fair Disclosure Act);
H.R. 1988 (Conflicted Investment Advice Prohibition Act of 2009);
H.R. 2989 (401(k) Fair Disclosure and Pension Security Act of 2009);
S. 906 (Senior Investment Protection Act);
H.R. 2779 (Defined Contribution Plan Fee Transparency Act of 2009).
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 |
Scott |
DeFife |
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Kenneth |
Bentsen |
Jr. |
Member of Congress, 1995-2003 |
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Tim |
Ryan |
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Elizabeth |
Varley |
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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: http://www.sifma.org/about/members/ ; http://www.sifma.org/about/divisions.shtml
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 |