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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 AVE., NW #912 WEST |
Address2 | |
City | WASHINGTON |
State | DC |
Zip Code | 20001 |
Country | USA |
3. Principal place of business (if different than line 2)
City | Minneapolis |
State | MN |
Zip Code | 55474 |
Country | USA |
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5. Senate ID# 302313-12
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6. House ID# 378270000
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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: Denise Gwyn Ferguson, Senior Vice President, Federal Government Affairs |
Date | 04/22/2013 |
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 CPT
16. Specific lobbying issues
H.R. 845 Saving High-Tech Innovators from Egregious Legal Disputes Act of 2013; entire bill
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES
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 |
Denise |
Ferguson |
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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. 624 - Cyber Intelligence Sharing and Protection Act; provisions relating to the financial services sector
H.R. 797 - Municipal Advisor Oversight Improvement Act of 2013; provisions relating to financial advisers
H.R. 1135 Burdensome Data Collection Relief Act; entire bill
S. 21 Cybersecurity and American Cyber Competitiveness Act of 2013; provisions relating to the financial services sector
Congressional inquiry on corporate cybersecurity practices
Congressional support for the SEC moving forward on implementing Section 913 of Dodd-Frank
Department of Labors proposed rule modifying the definition of ERISA fiduciary and need for coordination with existing SEC rules and its section 913 implementation, and its implications for the provision of advice on qualified retirement savings and small business plan coverage
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 |
Denise |
Ferguson |
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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
H.R. 508 - Terrorism Risk Insurance Act of 2002 Reauthorization Act of 2013 ; entire bill
H.R. 1155 National Association of Registered Agents and Brokers Reform Act of 2013 (NARAB II); entire bill
S. 534 National Association of Registered Agents and Brokers Reform Act of 2013; entire bill
TRIA extension and application to different lines of insurance coverage and workers compensation
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 |
Denise |
Ferguson |
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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. 837 Savings for American Families' Future Act of 2013; entire bill
S. 606 - SEAL Act; entire bill
Senate Resolution 12 (Isakson/Murphy) on preserving tax incentives for retirement security
Need for appropriate tax incentives for retirement security and negative implications of various proposals which would reduce incentives for savings and insurance coverage
Department of Labors proposed rule modifying the definition of ERISA fiduciary and need for coordination with existing SEC rules and its section 913 implementation, and its implications for the provision of advice on qualified retirement savings and small business plan coverage
Not yet introduced: SAVE Act, provisions related to making SIMPLE IRAs more attractive for small business and expanded tax credit for small business pension plan start-up costs
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 |
Denise |
Ferguson |
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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. 8 American Taxpayer Relief Act; provisions relating to capital gains/dividends, IRA charitable donations, estate and gift taxes
H.R. 880 Wall Street Trading and Speculators Tax Act; entire bill
S. 277 Job Preservation and Economic Certainty Act of 2013; provisions relating to imposition of financial crisis responsibility fee and financial transaction tax
S. 388 - American Family Economic Protection Act of 2013; provisions relating to individual taxation
S. 410 Wall Street Trading and Speculators Tax Act; entire bill
Not yet introduced: House Ways and Means draft proposal for taxing financial products and impact on life insurance companies, mutual funds, and retail investors
Independent contractor reform proposal and impact on BD financial advisers for U.S. asset managers
FATCA: Implementation and global competitive considerations
European FTTs and transborder collection obligation on US BDs
FY 2013 and FY 2014 White House budget proposals, including provisions affecting life company and life product taxation, independent contractor, cutback on exclusions for qualified plan contributions and IRAs, employer-provided health benefits, and municipal interest exclusions
Tax reform: implications on life insurers taxation, incentives for savings (both qualified and non-qualified) and long-term capital investment, municipal bond interest exclusion, corporate tax rate, and need for workable transition rules
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 |
Denise |
Ferguson |
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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 |