|
LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 245 Summer Street |
Address2 | V9B |
City | BOSTON |
State | MA |
Zip Code | 02210 |
Country | USA |
3. Principal place of business (if different than line 2)
City |
|
State |
|
Zip Code |
|
Country |
|
|
5. Senate ID# 48816-12
|
||||||||
|
6. House ID# 345260000
|
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 |
|
11. No Lobbying Issue Activity |
INCOME OR EXPENSES - YOU MUST complete either Line 12 or Line 13 | |||||||||
---|---|---|---|---|---|---|---|---|---|
12. Lobbying | 13. Organizations | ||||||||
INCOME relating to lobbying activities for this reporting period was: | EXPENSE relating to lobbying activities for this reporting period were: | ||||||||
|
|
||||||||
|
|
||||||||
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: James F. Febeo, Jr. |
Date | 1/20/2022 3:29:55 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 FIN
16. Specific lobbying issues
Equity market structure and trading regulation; systemic risk legislation; systemic risk regulation; e-delivery; data aggregation; digital assets; regulatory relief related to COVID; remote notarization; Environmental, Social, and Governance (ESG) regulation; money market fund regulation; fixed income market structure; proposed FTC amendments to the Hart-Scott-Rodino Act; remote inspections; H.R. 1996 and S. 910, the SAFE Banking Act of 2021, safe harbor provisions
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC), Labor - Dept of (DOL), Federal Reserve System, Office of Management & Budget (OMB)
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 |
Orr |
|
|
|
James |
Febeo |
|
|
|
Alice |
Joe |
|
|
|
Jason |
Goggins |
|
Senior Professional Staff and Counsel, US House Committee on Agriculture; Chief of Staff and Special Counsel, Office of CFTC Commissioner J. Christopher Giancarlo |
|
Kristy |
Croushore |
|
|
|
Pamela |
Everhart |
|
|
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 policy, including relevant provisions of H.R. 5376, the Build Back Better Act, H.R. 2954, the Securing a Strong Retirement Act of 2021, H.R. 5891, the Retirement Improvement and Savings Enhancement Act, and S. 1770, the Retirement Security and Savings Act of 2021; retirement savings enhancements, including relevant provisions of H.R. 2954, the Securing a Strong Retirement Act of 2021, H.R. 5891, the Retirement Improvement and Savings Enhancement Act, and S. 1770, the Retirement Security and Savings Act of 2021; open MEPs; e-delivery; emergency savings accounts; auto-portability; inherited IRAs
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
James |
Febeo |
|
|
|
Andrew |
Vermilye |
|
|
|
Scott |
Orr |
|
|
|
Alice |
Joe |
|
|
|
Kristy |
Croushore |
|
|
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
Tax treatment of financial products; retirement savings tax incentives; tax reform legislation/regulation, including relevant provisions of H.R. 5376, the Build Back Better Act; crypto information reporting; health savings accounts
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, 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 |
James |
Febeo |
|
|
|
Andrew |
Vermilye |
|
|
|
Alice |
Joe |
|
|
|
Scott |
Orr |
|
|
|
Jason |
Goggins |
|
Senior Professional Staff and Counsel, US House Committee on Agriculture; Chief of Staff and Special Counsel, Office of CFTC Commissioner J. Christopher Giancarlo |
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
I-9 flexibility
17. House(s) of Congress and Federal agencies Check if None
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 |
James |
Febeo |
|
|
|
Alice |
Joe |
|
|
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
Address |
|
||||||
City |
|
State |
|
Zip Code |
|
Country |
|
21. Client new principal place of business (if different than line 20)
City |
|
State |
|
Zip Code |
|
Country |
|
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
|
|
||||||||
1 |
|
3 |
|
||||||
2 |
|
4 |
|
ISSUE UPDATE
24. General lobbying issue that no longer pertains
|
|
|
|
|
|
|
|
|
AFFILIATED ORGANIZATIONS
25. Add the following affiliated organization(s)
Internet Address:
Name | Address |
Principal Place of Business (city and state or country) |
||||||||||||
| ||||||||||||||
|
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 | ||||||||||
| ||||||||||||||
|
% |
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) |