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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1100 Vermont Avenue, NW |
Address2 | 10th Floor |
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# 285494-12
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6. House ID# 369900000
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TYPE OF REPORT | 8. Year | 2021 |
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 |
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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: Wayne Chopus, President & CEO |
Date | 7/19/2021 7:26:19 PM |
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
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform.
DOL - EBSA - Cybersecurity Guidance for Plan Sponsors, Fiduciaries, Record Keepers and Participants.
DOL - EBSA - PTE 2020-02 - Improving Investment Advice for Workers & Retirees.
DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95.
DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29.
DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20.
DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91.
DOL - OSEC - Rescission of Department of Labor Rule on Guidance (29 CFR Part 89 - RIN 1290-AA41).
EOP - Executive Order on Climate-Related Financial Risk.
EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875).
EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021).
FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42).
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions.
Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions.
The Registration for Index Linked Annuities Act of 2020 (S.3795/H.R. 6994 - 116th Congress).
The Application of ERISA to Insurance Company General Accounts and General Account Contracts (H.R. 7278 - 115th Congress).
The E-SIGN Modernization Act (S.4159 - 116th Congress).
The Lifetime Income for Employees Act (HR. 8990 - 116th Congress).
DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
SEC - Implementation and Enforcement of Regulation BI and Form CRS.
SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
SEC - Reporting Threshold for Institutional Investment Managers - RIN 3235-AM65.
The American Families Plan.
The American Infrastructure Bonds Act (S. 1308 - 117th Congress).
The Bipartisan Infrastructure Framework.
The Financial Factors in Selecting Retirement Plan Investment Act (S.1762/H.R. 3387-117th Congress).
The Improving Access to Retirement Savings Act of 2021 (S.1703 - 117th Congress).
The INVEST in America Act (H.R. 3684 - 117th Congress).
The Local Infrastructure Financing Tools (LIFT) Act (HR 2634 - 117th Congress).
The Primary Regulators of Insurance Vote Act (H.R.3099 - 117th Congress).
The Protecting the Right to Organize (PRO) Act (S. 420/H.R. 842-117th Congress).
The Retirement Parity for Student Loans Act (S. 1443/HR 2917 - 117th Congress).
The Retirement Savings Lost and Found Act (S.1730 - 117th Congress).
The Retirement Security and Savings Act of 2021 (S. 1770 - 117th Congress).
The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996-117th Congress).
The Securing a Strong Retirement Act (H.R.2954 - 117th Congress).
The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625 - 117th Congress).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Treasury - Dept of, Labor - Dept of (DOL)
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 |
Paul |
Richman |
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John |
Jennings |
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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
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform.
DOL - EBSA - Cybersecurity Guidance for Plan Sponsors, Fiduciaries, Record Keepers and Participants.
DOL - EBSA - PTE 2020-02 - Improving Investment Advice for Workers & Retirees.
DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95.
DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29.
DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20.
DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91.
DOL - OSEC - Rescission of Department of Labor Rule on Guidance (29 CFR Part 89 - RIN 1290-AA41).
EOP - Executive Order on Climate-Related Financial Risk.
EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875).
EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021).
FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42).
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions.
Treasury - IRS Proposed Rulemaking: Multiple Employer Plans (26 CFR Part 1 [REG-121508-18] RIN 1545-BO97).
Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11).
Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions.
SEC - Implementation and Enforcement of Regulation BI and Form CRS.
SEC - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (17 CFR Parts 230, 232, 239, 240, 270, and 274).
The Automatic Retirement Plan Act of 2017 (H.R. 4523 - 115th Congress).
The Retirement Plan Simplification Act of 2017 (H.R. 4524 - 115th Congress).
The Expanding Access to Retirement Savings for Caregivers Act (H.R. 3078 - 116th Congress).
The Application of ERISA to Insurance Company General Accounts and General Account Contracts (H.R. 7278 - 115th Congress).
Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft).
The Enhancing Emergency and Retirement Savings Act (S.1870-117th Congress).
The Financial Exploitation Prevention Act (H.R. 2265 - 117th Congress).
The Financial Factors in Selecting Retirement Plan Investment Act (S.1762/H.R. 3387-117th Congress).
The Financial Services and General Government Appropriations Act, 2022 (H.R.4345 - 117th Congress).
The Improving Access to Retirement Savings Act of 2021 (S.1703 - 117th Congress).
The Long-Term Care Affordability Act (S.4820 - 116th Congress).
The Military Spouses Retirement Security Act (S. 1273/HR 1453 - 117th Congress).
The Protecting the Right to Organize (PRO) Act (S. 420/H.R. 842-117th Congress).
The Retirement Parity for Student Loans Act (S. 1443/HR 2917 - 117th Congress).
The Retirement Savings Lost and Found Act (S.1730 - 117th Congress).
The Retirement Security and Savings Act of 2021 (S. 1770 - 117th Congress).
The Securing a Strong Retirement Act (H.R.2954 - 117th Congress).
The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625 - 117th Congress).
The Senior Security Act (S.856/H.R.1565 - 117th Congress).
The Servicemember Retirement Improvement Act (H.R. 905 - 116th Congress).
The Registration for Index Linked Annuities Act of 2020 (S.3795/H.R.6994 - 116th Congress).
The E-SIGN Modernization Act. (S.4159 - 116th Congress).
The Lifetime Income for Employees Act (HR. 8990 - 116th Congress).
The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996 - 117th Congress).
DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
Treasury - IRS - Draft of the 2022 IRS Form W-4P and W4-R, Withholding Certificate for Periodic Pension or Annuity Payments.
Treasury - IRS - Notice 2021-03 - Extension of Temporary Relief from the Physical Presence Requirement for Spousal Consents Under Qualified Retirement Plans.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Labor - Dept of (DOL), Treasury - Dept of, 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 |
Paul |
Richman |
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John |
Jennings |
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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
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform.
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions that proposed changes to the Internal Revenue Code, including, but not limited to, the Department of the Treasury's Longevity Annuity Contracts Notice of Proposed Rulemaking (REG-115809-11).
Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11).
Treasury - IRS Proposed Rulemaking: Multiple Employer Plans (26 CFR Part 1 [REG-121508-18] RIN 1545-BO97).
DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95.
EOP - Executive Order on Climate-Related Financial Risk.
The American Families Plan.
The American Infrastructure Bonds Act (S. 1308 - 117th Congress).
The Bipartisan Infrastructure Framework.
The Enhancing Emergency and Retirement Savings Act (S.1870-117th Congress).
The Improving Access to Retirement Savings Act of 2021 (S.1703 - 117th Congress).
The INVEST in America Act (H.R. 3684 - 117th Congress).
The Local Infrastructure Financing Tools (LIFT) Act (HR 2634 - 117th Congress).
The Long-Term Care Affordability Act (S.4820 - 116th Congress).
The Military Spouses Retirement Security Act (S. 1273/HR 1453 - 117th Congress).
The Retirement Parity for Student Loans Act (S. 1443/HR 2917 - 117th Congress).
The Retirement Savings Lost and Found Act (S.1730 - 117th Congress).
The Retirement Security and Savings Act of 2021 (S. 1770 - 117th Congress).
The Securing a Strong Retirement Act (H.R.2954 - 117th Congress).
The Automatic Retirement Plan Act of 2017 (H.R. 4523 - 115th Congress).
The Retirement Plan Simplification Act of 2017 (H.R. 4524 - 115th Congress).
The Receiving Electronic Statements To Improve Retiree Earnings Act (H.R. 4610 - 115th Congress).
The Expanding Access to Retirement Savings for Caregivers Act (H.R. 3078 - 116th Congress).
The Servicemember Retirement Improvement Act (H.R. 905 - 116th Congress).
The Lifetime Income for Employees Act (HR. 8990 - 116th Congress).
DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
Treasury - IRS - Draft of the 2022 IRS Form W-4P and W4-R, Withholding Certificate for Periodic Pension or Annuity Payments.
Treasury - IRS - Notice 2021-03 - Extension of Temporary Relief from the Physical Presence Requirement for Spousal Consents Under Qualified Retirement Plans.
Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, 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 |
Paul |
Richman |
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John |
Jennings |
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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
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform.
EOP - Executive Order on Climate-Related Financial Risk.
EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875).
EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021).
FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42).
DOL - EBSA - Cybersecurity Guidance for Plan Sponsors, Fiduciaries, Record Keepers and Participants.
DOL - EBSA - PTE 2020-02 - Improving Investment Advice for Workers & Retirees.
DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95.
DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29.
DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20.
DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91.
SEC - Implementation and Enforcement of Regulation BI and Form CRS.
SEC - Reporting Threshold for Institutional Investment Managers - RIN 3235-AM65.
Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11).
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions.
Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions.
Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
The Consumer Data Privacy Act - (Sen. Wyden (D-OR) - Discussion Draft).
The CECL Consumer Impact and Study Bill of 2019 (H.R. 3182 - 116th Congress).
The Corporate Management Accountability Act of 2019 (S.1885/H.R. 4320 - 116th Congress).
The Cybersecurity and Financial System Resilience Act of 2019 (H.R. 4458 - 116th Congress).
Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft).
House Energy and Commerce Committee - Privacy Bill (Discussion Draft).
The American Families Plan.
The Bipartisan Infrastructure Framework.
The Diversity and Inclusion Data Accountability and Transparency Act. (H.R. 2123 - 117th Congress).
The Diversity Data Accountability Act (H.R.2001 - 117th Congress).
The ESG Disclosure Simplification Act. (H.R. 1187 - 117th Congress).
The Financial Exploitation Prevention Act (H.R. 2265 - 117th Congress).
The Financial Factors in Selecting Retirement Plan Investment Act (S.1762/H.R. 3387-117th Congress).
The Financial Services and General Government Appropriations Act, 2022 (H.R.4345 - 117th Congress).
The Improving Corporate Governance Through Diversity Act. (H.R. 1277 - 117th Congress).
The INVEST in America Act (H.R. 3684 - 117th Congress).
The Primary Regulators of Insurance Vote Act (H.R.3099 - 117th Congress).
The Promoting Diversity and Inclusion in Banking Act. (H.R. 2516 - 117th Congress).
The Protecting the Right to Organize (PRO) Act (S. 420/H.R. 842-117th Congress).
The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996-117th Congress).
The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625 - 117th Congress).
The Senior Security Act (S.856/H.R.1565 - 117th Congress).
The Shareholder Political Transparency Act. (H.R. 1087 - 117th Congress).
The Registration for Index Linked Annuities Act of 2020 (S.3795/H.R.6994 - 116th Congress).
The E-SIGN Modernization Act. (S.4159 - 116th Congress).
The SAFE Banking Act (S.910/H.R. 1996 - 117th Congress).
DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Treasury - Dept of, Labor - Dept of (DOL)
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 |
Paul |
Richman |
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John |
Jennings |
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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 |
CONVICTIONS DISCLOSURE
29. Have any of the lobbyists listed on this report been convicted in a Federal or State Court of an offense involving bribery,
extortion, embezzlement, an illegal kickback, tax evasion, fraud, a conflict of interest, making a false statement, perjury, or money laundering?
Lobbyist Name | Description of Offense(s) |