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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 1401 H STREET, NW |
Address2 | SUITE 1200 |
| City | WASHINGTON |
State | DC |
Zip Code | 20005 |
Country | USA |
3. Principal place of business (if different than line 2)
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State | |
Zip Code | |
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5. Senate ID# 20128-12
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6. House ID# 311170000
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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. | ||||||||
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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 |
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| Signature | Digitally Signed By: Dean R. Sackett III, Chief Government Affairs Officer & Co-Head |
Date | 10/18/2013 |
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 FIN
16. Specific lobbying issues
S. 450 - Financial Regulatory Responsibility Act of 2013 (Shelby)
S. 1217 - Housing Finance Reform and Taxpayer Protect Act (Corker)
S. 1526 - Audit Integrity and Job Protection Act (Toomey)
H.R. 31 - Next Steps for Credit Availability Act (Velazquez)
H.R. 785 - Halt Index Trading of Energy Commodities Act (Markey)
H.R. 797 - Municipal Advisor Oversight Improvement Act of 2013 (Stivers)
H.R. 1003 - To Improve Consideration by the CFTC of the costs and benefits of regulations (Conaway)
H.R. 1062 - SEC Regulatory Accountability Act (Garrett)
H.R. 1564 - Audit Integrity and Job Protection Act (Hurt)
H.R. 1626 - Focusing the SEC on its Mission Act (Wagner)
H.R. 1627 - Investment Adviser Examination Improvement Act of 2013 (Waters)
H.R. 1800 - Small Business Credit Availability Act (Grimm)
H.R. 2733 - Defending American Taxpayers from Abusive Government Takings Act (Campbell)
H.R. 2767 - Protecting American Taxpayers and Homeowners Act of 2013 (Garrett)
Money Market Mutual Funds
FSOC Rulemaking
Volcker Rule
CFTC Rule 4.5
CFTC Reauthorization
Use of Commodities by Mutual Funds
Exchange-Traded Funds
Stock Tick Sizes (Duffy)
Eminent Domain
Structure of the U.S. Securities Markets
Non-Deliverable Forwards
Proxy Advisory Services
Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers
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 |
Dean |
Sackett |
III |
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Donald |
Auerbach |
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Michelle |
Mesack |
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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. 1145 - Lifetime Income Disclosure Act (Isakson)
S. 1270 - SAFE Retirement Act of 2013 (Hatch)
H.R. 2035 - Automatic IRA Act of 2013 (Neal)
H.R. 2117 - Retirement Plan Simplification and Enhancement Act of 2013 (Neal)
H.R. 2171 - Lifetime Income Disclosure Act (Holt)
H.R. 2374 - Retail Investor Protection Act (Wagner)
S. Con. Res. 12 - Sense of Congress that Current Tax Incentives for Retirement Savings Provide Important Benefits (Isakson)
Electronic Delivery of Retirement Plan Information
DOL Fiduciary Definition
401(k) Disclosure
"USA Retirement Funds" Proposal (Harkin)
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 |
Dean |
Sackett |
III |
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Donald |
Auerbach |
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Peter |
Gunas |
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Allen |
Huffman |
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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
S. 1257 - Protect American Investments Act of 2013 (Roberts)
H.R. 880 - Wall Street Trading and Speculators Tax Act (DeFazio)
H.R. 2546 - Protect American Investments Act of 2013 (Price)
H. Res. 112 - House Resolution on Municipal Bonds (Terry)
H.R. 1554 - Stop Tax Haven Abuse Act (Doggett)
Section 871(k) Flow-through of Certain Dividends
Annual Contribution Limits for Retirement Plans
Foreign Account Tax Compliance Act
International Regulated Investment Companies
Tax-Exemption for Municipal Bonds
Financial Transaction Tax
Tax Treatment of Financial Products (Camp)
28% Limit on Tax Deductions and Exemptions
RIC Modernization Act Technical Corrections
S. 313 - ABLE Act of 2013 (Casey)
S. 268 - CUT Loopholes Act (Levin)
S. 410 - Wall Street Trading And Speculators Tax Act (Harkin)
S. 606 - Shrinking Emergency Account Losses Act (Nelson)
S. 1533 - Stop Tax Haven Abuse Act (Levin)
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 |
Dean |
Sackett |
III |
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Don |
Auerbach |
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Peter |
Gunas |
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Allen |
Huffman |
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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 |