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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 |
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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 | 2008 |
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 | 10/20/2008 |
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. 1685 (Protect Information Relating to Consumers to Require Notice of Security Breaches); S. 1260 (Data Security Act); H.R. 958 (Data Accountability and Trust Act); S. 1202 (Personal Data Act of 2007); S. 239 (Notification of Risk to Personal Data Act of 2007); S. 495 (Personal Privacy Data and Security Act); S. 1178 (Identity Theft Prevention Act); H.R. 948 (Social Security Number Protection Act); H.R. 3915 (Mortgage Reform and Anti-Predatory Lending Act);
S. 2452 (Homeownership Preservation Act); S. 1299 (Subprime Lending); S. 1208 (Social Security Account Number Protection Act); H.R. 3837 (Escrow, Appraisal and Mortgage Servicing Improvements); H.R. 3012 (Fair Mortgage Practices Act); S. 1926 (National Infrastructure Bank); H.R. 4178 (Emergency Mortgage Loan Modification Act); H.R. 5579 (Emergency Loan Modification Act of 2008); Servicer safe harbor for debt restructuring of residential mortgages; S. 2338/ H.R. 1852 (Expanding American Homeownership Act) (FHA Reform); H.R. 1427/ S. 1100 (GSE Reform); H.R. 3648 Mortgage Forgiveness Debt Relief Act of 2007 with Senate Amendment); S. 2517 (Mortgage revenue bonds); S. 1356/ H.R. 698 (Industrial Bank Holding Company Act) (Industrial Loan Companies); S. 238 (Social Security Number Misuse Prevention Act); H.R. 5140 (Economic Stimulus/MRBs/FHA & GSE Loan Limits) (Economic Stimulus Act of 2008, with Senate Amendment); S. 2737 (Security Against Foreclosures and Education Act - "Safe Act"); S. 1691 (Social Security Number Online Protection Act); S. 2168 (Identity Theft Enforcement and Restitution Bill); H.R. 3046 (Social Security Number and Identity Theft Prevention Act); Federal Family Education Loan Program/Private Student Lending Secondary Market Issues; H.R. 2091/ S. 1963 (Federal Home Loan Bank bonds to tax exempt); Expanded FHA lending; H.R. 5679 (Foreclosure Prevention and Sound Mortgage Security Act); H.R. 3221 (Foreclosure Prevention Act) (GSE loan limits; FHA modernization and expansion; servicer safe harbor); H.R. 5723/ S. 2847 (Emergency Student Loan Market Liquidity Act); H.R. 5715;PL 110-227 (to ensure continued availability of access to Federal student loan program); S. 2815 (Strengthening Student Aid for All Act); H.R. 6659 (The Equal Treatment of Covered Bonds Act); EU Capital Requirements Directive; Federal Reserve Board Proposed Rule Reg AA (credit card practices).
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Federal Reserve System, Federal Deposit Insurance Commission (FDIC), Office of Thrift Supervision (OTS), Office of the Comptroller of the Currency (OCC), Treasury - Dept of, Education - 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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Richard |
Hunt |
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Margaret |
Simmons |
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Josie |
Storrs |
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John |
Anderson |
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Jill |
Hershey |
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Shahira |
Knight |
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Tim |
Ryan |
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Michael |
Paese |
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Dpty Staff Dir/Snr Min.Cnsl -Hse Fin Serv Com |
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David |
Strongin |
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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
S. 1677 (International Economic Coordination/Market Access); S. 577 (OTC Derivatives); Fee Based Brokerage Accounts; Soft Dollars; Client Commission Arrangements; 12B-1 Fees; Global Capital Markets Competitiveness; Hedge Funds, private pools of capital, asset management issues; S. 1782/ H.R. 3010 (Arbitration Fairness); H.R. 3225 (Mutual Fund Fee Reform Act); Sovereign Wealth Funds; Auction Rate Securities Market; Mutual Recognition; Rule 15a-6; Municipal bonds;
H.R. 6333/ S. 3518 (The Municipal Bond Market Support Act); H.R. 6308 (Municipal Bond Fairness Act); Credit Ratings for Structured Finance Products; SEC Nominations; Cross border securities activities; Section 13(d) ownership of equity swaps; Regulatory restructuring/discount window access; H.R. 5720/ H.R. 3221 (Foreclosure Prevention Act of 2008); S. 2636 (Foreclosure Prevention Act of 2008); Treasury Blueprint/Regulatory Restructuring; H.R. 1424 (Emergency Economic Stabilization Act); H.R. 6482 (credit ratings for asset-backed instruments).
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, Natl Security Council (NSC)
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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Richard |
Hunt |
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Margaret |
Simmons |
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John |
Anderson |
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Jill |
Hershey |
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Josie |
Storrs |
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David |
Strongin |
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Shahira |
Knight |
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Tim |
Ryan |
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Cory |
Strupp |
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Michael |
Paese |
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Dpty Staff Dir/Snr Min.Cnsl -Hse Fin Serv Com |
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Liz |
Varley |
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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
H.R. 556 (Foreign Investment and National Security Act of 2007); Foreign Trade Agreements; H.R. 888 (Business Travel Facilitation Act of 2007); China financial services market access and currency issues; H.R. 3688 (United States-Peru Trade Promotion Agreement Implementation Act); S. 2271 (Sudan Accountability and Divestment Act of 2007); H.R. 594 (Prevent Unfair Manipulation of Prices Act of 2007); Strategic Economic Development; Transatlantic Economic Counsel;
Bilateral Investment Treaty discussions for Brazil, Russia, India, China; Trans-Pacific Strategic Economic Partnership Agreement.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Homeland Security - Dept of (DHS), Treasury - Dept of, Commerce - Dept of (DOC), U.S. Trade Representative (USTR), Natl Economic Council (NEC), Natl Security Council (NSC)
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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Richard |
Hunt |
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John |
Anderson |
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Josie |
Storrs |
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David |
Strongin |
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Tim |
Ryan |
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Michael |
Paese |
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Dpty Staff Dir/Snr Min.Cnsl -Hse Fin Serv Com |
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. 4626 (CFTC Reauthorization Act); S. 577 (Oil and Gas Traders Oversight Act of 2007); S. 3122 (Policing United States Oil Commodities Market Act of 2008); S. 3130 (Increasing Transparency and Accountability in Oil Prices Act of 2008); S. 3131 (Oil Speculation Control Act of 2008); S. 3134 (to amend the Commodity Exchange Act to require energy commodities to be traded only on regulated markets and for other purposes);
S. 3183 (End Oil Speculation Act of 2008); S. 3202 (Gas Price Reduction Act of 2008); H.R. 6377 (The Energy Markets Emergency Act); H.R. 6334 (Increasing Transparency and Accountability in Oil Prices Act of 2008); H.R. 6330 (Prevent Unfair Manipulation of Prices (PUMP) Act of 2008); H.R. 6238 (to provide for the establishment of an interagency working group to conduct a study to identify the factors that affect the pricing of crude oil and refined petroleum products); H.R. 6264 (to prevent excessive speculation in OTC derivatives markets for certain energy commodities by limiting participation in those markets); Regulation of Commodities and Energy Derivatives; H.R. 6604 (Commodity Markets Transparency Accountability Act of 2008); S. 3255 (Over-the-Counter Speculation Act); S. 3248 (Commodity Speculation Reform Act of 2008).
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Commodity Futures Trading Commission (CFTC), 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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Richard |
Hunt |
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John |
Anderson |
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Margaret |
Simmons |
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Jill |
Hershey |
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Shahira |
Knight |
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Tim |
Ryan |
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Michael |
Paese |
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Dpty Staff Dir/Snr Min.Cnsl -Hse Fin Serv Com |
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. 3970/ H.R. 878/ S. 601/ H.R. 5720/ H.R. 3221/ S. 335/ H.R. 6049/ H.R. 7060/ H.R. 7201/ H.R.1424 (adjusted basis reporting requirements for brokers and delay in filing deadline for 1099 statement); H.R. 1509/ H.R. 6049/ S. 3125/ S. 2886/ S. 3335/ S. 940/ S. 3098/ H.R. 7060/ H.R. 7202/ H.R. 1424 (active financing exception under Subpart F); H.R. 5267 (Business Activity Tax Simplification Act of 2008);
Valuation safe harbor under IRC section 475 mark-to-market requirements; Valuation of CDOs and related securities for purposes of section 475; IRS Notice 2006-97 concerning excess inclusion income of REIT taxable mortgage pools; Exchange traded notes/prepaid forwards (Notice 2008-2); Taxation of credit default swaps; taxation of notional principal contracts; Tax treatment of derivatives generally; Tax patent reporting; Foreign tax credit rules (including proposed "technical taxpayer" rule, noncompulsory payment rules); Allocation of income and deductions from global securities dealing operations; OECD project on attribution of profits to permanent establishments; Withholding tax consequences of self tenders and other distributions analyzed under IRC section 302; OECD Forum on Tax Administration's project on tax intermediaries and banks; OECD and EU projects on provision of treaty withholding tax relief when investment is made through collective investment vehicles or other intermediated structures; Arbitration provisions in OECD Model Tax Convention, U.S. bilateral tax treaties, U.S. Model Treaty; International reform generally, including importance of interest expense allocation rules; IRS Form W-8 and instructions; Currency gains and losses of qualified business units under IRC section 987; Cross-border equity swaps; IRS Notice 97-66 (foreign-to-foreign securities loans); H.R. 4912 (Tax treatment of prepaid derivatives contracts); OECD request for comments on transactional profit methods; IRS Section 265 (b) safe harbor concerning interest expense deductibility; Revenue Procedure 2008-28 (effect of loan modifications on tax status of REMICs and other securitization vehicles); Tax reporting with respect to widely-held fixed investment trusts (Treas. Reg. section 1.671-5); H.R. 6333/ S. 3518 (municipal bonds); H.R. 1424/ H.R. 6049/ S. 3125/ S. 3335 (executive compensation tax provisions).
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Internal Revenue Service (IRS), Treasury - Dept of, White House Office
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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Richard |
Hunt |
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Shahira |
Knight |
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Patricia |
McClanahan |
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Elizabeth |
Varley |
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Margaret |
Simmons |
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John |
Anderson |
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Jill |
Hershey |
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Tim |
Ryan |
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Michael |
Paese |
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Dpty Staff Dir/Snr Min.Cnsl -Hse Fin Serv Com |
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. 819/ H.R. 1419 (Public Good IRA Rollover Act of 2007); S. 1141/ H.R. 2167 (Automatic IRA Act of 2007); S. 1010/ H.R. 2205 (Retirement Security for Life Act of 2007); S. 2 (Fair Minimum Wage Act of 2007); S. 1725 (Restoring Pension Promises to Workers Act); S. 1288 (Women's Retirement Security Act of 2007); H.R. 2669 (College Cost Reduction Act of 2007); H.R. 2831 (Ledbetter Fair Pay Act of 2007);
Pension technicals; Fee disclosure and transparency; Small business pension coverage; Pension Protection Act implementation; Wrap fee revenue ruling request; 529 plan regulatory project; Proposed regulation on Sec. 408(b)(2) of ERISA; RFI on disclosure to participants; Form 5500 revisions; H.R. 3923/ S. 2199 (Offshore Deferred Compensation Act of 2007); S. 2473 (Defined Contribution Fee Disclosure Act of 2007); H.R. 3185 (The 401(K) Fair Disclosure for Retirement Security Act of 2007); H.R. 5160 (Save Act of 2008); H.R. 3765 (Defined Contribution Plan Fee Transparency Act of 2007); S. 2794 (Senior Investor Protection Act of 2008); H.R. 6143 (Pension Protection ERISA Amendments of 2008); Auction Rate Securities/IRA Exemption.
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, Internal Revenue Service (IRS)
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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Richard |
Hunt |
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Elizabeth |
Varley |
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Josie |
Storrs |
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Tim |
Ryan |
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Michael |
Paese |
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Dpty Staff Dir/Snr Min.Cnsl -Hse Fin Serv Com |
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 IMM
16. Specific lobbying issues
Immigration/H1-B Visas, Visa facilitation.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, Homeland Security - Dept of (DHS), Natl Security Council (NSC), 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 |
Scott |
DeFife |
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Richard |
Hunt |
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John |
Anderson |
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Josie |
Storrs |
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David |
Strongin |
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Michael |
Paese |
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Dpty Staff Dir/Snr Min.Cnsl -Hse Fin Serv Com |
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 BNK
16. Specific lobbying issues
S. 2136 (Helping Families Save their Homes in Bankruptcy Act); S. 2133 (Homeowners Mortgage and Equity Savings Act); H.R. 3609 (Emergency Homeownership and Mortgage Equity Protection Act) (treatment of mortgages in bankruptcy).
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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Richard |
Hunt |
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John |
Anderson |
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Margaret |
Simmons |
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Jill |
Hershey |
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Michael |
Paese |
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Dpty Staff Dir/Snr Min.Cnsl -Hse Fin Serv Com |
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
CPT |
CPI |
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AGR |
HOM |
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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 |