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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 601 Thirteenth Street, NW |
Address2 | Suite 700 North |
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# 55757-12
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6. House ID# 351660000
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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: Sue K. DiLandro, VP Compliance and Political Programs |
Date | 07/21/2014 |
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
Financial Regulatory Reform
Federal Reserve Supervision of Savings and Loan Holding Companies
Federal Reserve Board's Rules to Implement Basel III Regulatory Capital Reforms
Dodd-Frank Wall Street Reform and Consumer Protection Act in regards to:
Systemic Risk Designation
Notice of Proposed Rulemaking that would implement Section 619 of the Dodd-Frank Act, the Volcker Rule
Capital Requirements for the Savings & Loan Holding Company and Federal Reserve Board Oversight as in the following bill:
HR2140 - Insurance Capital and Accounting Standards Act of 2013
MMF Reform
SEC Fiduciary Project (DFA Sec. 913)
HR 4510/ S2270- Insurance Capital Standards Clarification Act of 2014
Terrorism Risk Insurance Extension as in the following bill:
HR508 - Terrorism Risk Insurance Act of 2002 Reauthorization Act of 2013
Basel III as in the following bills:
S1369 - 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 and for other purposes
S2102 - A bill to clarify the application of certain leverage and risk-based requirements under the Dodd-Frank Wall Street
Reform and Consumer Protection Act
GSE Reform
Asset Manager SIFI Designation
Death Master File
Equity Market Structure
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Federal Deposit Insurance Commission (FDIC), Federal Reserve System, 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 |
Karen |
Elinski |
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Larry |
Chadwick |
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Christopher |
Spence |
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Sam |
Hodas |
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Jill |
Brown |
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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
Retirement Security as in the following bills:
S606 - Shrinking Emergency Account Losses Act of 2013 (SEAL Act)
HR2117 - Retirement Plan Simplification and Enhancement Act of 2013
HR2035 - Automatic IRA Act of 2013
Retirement Security as in the following bills: [continued]
S1270 - Secure Annuities for Employee (SAFE) Retirement Act of 2013
S1970 - Retirement Security Act of 2014
S1979 - USA Retirement Funds Act of 2014
DOL & SEC Fiduciary Proposals (DOL Fiduciary Definition Regulation / SEC Project to Harmonize Broker-Dealer
Fiduciary Standards) as in the following bill:
HR2374 - Retail Investor Protection Act
Providing Lifetime Income Illustrations on Retirement Benefit Statements
Tax Benefits of Defined Contribution Plans
Defined Contribution Retirement Plan Design
Fiduciary Concerns Related to Advice and Education in Retirement Plans
Stretch IRA as in the following bill:
S953 - Reed-Harkin Student Loan Affordability Act of 2013
Preserving America's Transit and Highways Act of 2014 (Chairman's Mark)
Lifetime Income Disclosure as in the following bill:
HR2171/S1145 - Lifetime Income Disclosure Act of 2013
Retirement Plan Consolidation
Tax Reform as it relates to retirement plans
Qualified Default Investment Alternatives
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Labor - Dept of (DOL), 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 |
Karen |
Elinski |
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Larry |
Chadwick |
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Sam |
Hodas |
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Christopher |
Spence |
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Jill |
Brown |
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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
Hybrid Pension Plans
Tax Reform as it relates to retirement plans
Retirement plan consolidation in tax reform
529 Plans as in the following bill:
HR529 - Savings Enhancement for Education in College Act
Preserving Retirement Tax Incentives
Treatment of elective deferrals in defined contributions plans
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 |
Karen |
Elinski |
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Larry |
Chadwick |
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Christopher |
Spence |
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Sam |
Hodas |
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Jill |
Brown |
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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 |