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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 |
3. Principal place of business (if different than line 2)
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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 | 2011 |
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: Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy |
Date | 07/20/2011 |
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. 31 (The Fannie Mae and Freddie Mac Accountability and Transparency for Taxpayers Act of 2011);
H.R. 1221 (The Equity in Government Compensation Act);
H.R. 1222 (The GSE Subsidy Elimination Act);
H.R. 1223 (The GSE Credit Risk Equitable Treatment Act);
H.R. 1224 (The Portfolio Risk Reduction Act);
H.R. 1225 (The GSE Debt Issuance Approval Act);
H.R. 1226 (The GSE Mission Improvement Act);
H.R. 1227 (The GSE Risk and Activities Limitation Act);
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation;
Housing Affordability and Stability Plan;
Credit Rating Agency Reform.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, Natl Economic Council (NEC), Federal Deposit Insurance Commission (FDIC), Office of the Comptroller of the Currency (OCC), Federal Reserve System
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 |
Tim |
Ryan |
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Kenneth |
Bentsen |
Jr. |
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John |
Hallmark |
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Kevin |
Carroll |
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Joseph |
Vaughan |
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Carter |
McDowell |
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Bradley |
Edgell |
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Matthew |
McGinley |
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CoS, Repub. Policy Cmt Chair Tom Price 2010-11 |
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Matthew |
McGinley |
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CoS, Rep. Tom Price, 2004-11 |
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Matthew |
McGinley |
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CoS, LD, Counsel, Rep. Brian Kerns, 2002-03 |
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. 940 (United States Covered Bond Act of 2011);
H.R. 1573 (To facilitate implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption);
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Regulatory rulemaking regarding swap dealer capital requirements and margin segregation);
Regulation of over-the-counter (OTC) derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements);
Dodd-Frank proposed and final rules related to derivatives.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Commission (FDIC), Office of Thrift Supervision (OTS), Federal Reserve System, 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 |
Tim |
Ryan |
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Kenneth |
Bentsen |
Jr. |
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John |
Hallmark |
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Michael |
Decker |
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Cory |
Strupp |
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Carter |
McDowell |
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Bradley |
Edgell |
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Matthew |
McGinley |
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CoS, Repub. Policy Cmt Chair Tom Price 2010-11 |
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Matthew |
McGinley |
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CoS, Rep. Tom Price, 2004-11 |
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Matthew |
McGinley |
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CoS, LD, Counsel, Rep. Brian Kerns, 2002-03 |
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. 363 (Housing Opportunity and Mortgage Equity Act of 2011);
H.R. 344 (Fiscal Responsibility Effective Enforcement Act of 2011);
H.R. 463 (Fannie Mae and Freddie Mac Transparency Act of 2011);
H.R. 653 (Financial Information Privacy Act of 2011);
H.R. 757 (Equitable Treatment of Investors Act);
H.R. 836 (Emergency Mortgage Relief Program Termination Act);
H.R. 1062 (Burdensome Data Collection Relief Act);
H.R. 1070 (Small Company Capital Formation Act of 2011);
H.R. 1082 (Small Business Capital Access and Job Preservation Act);
H.R. 1112 (National Association of Registered Agents and Brokers Reform Act of 2011);
H.R. 1151 (Emergency Mortgage Relief and Neighborhood Stabilization Programs Cost Recoupment Act of 2011);
H.R. 1539 (Asset-Backed Market Stabilization Act of 2011);
H.R. 1573 (To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption);
H.R. 1610 (Business Risk Mitigation and Price Stabilization Act of 2011);
H.R. 1965 (To amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes.);
H.R. 2517 (Shareholder Protection Act of 2011);
H. Amdt. 465 (Amendment prohibits the use of funds by the CFTC to promulgate any final rules under the Commodity Exchange Act as added by the Dodd-Frank Act until 12 months after the promulgation of final swap transaction reporting rules under the Commodity Exchange Act.);
S. 23 (Patent Reform Act of 2011);
S. 694 (Fairness and Independence in Redistricting Act);
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation (Section 913; Section 914; Systemic risk regulation and liquidation authority; Section 342 (Office of Minority and Women Inclusion);
Systemic Risk Regulation and liquidation authority;
Governmental Accounting Standards Board (GASB) Funding (Regulatory Capital Requirements, systemic risk regulation and liquidation authority);
Resolution Authority for Systemically Significant Financial Companies Act of 2009;
China - strategic and economic dialogue;
Market Structure Issues (dark pools, flash quotes, high frequency trading);
Transatlantic Economic Council (Trade Issues);
Preservation of independent contractor status for financial services sector;
Bilateral Investment Treaties, India;
Asian Pacific Economic Council Privacy Issues;
Free trade agreements (Columbia; Panama; South Korea);
Transpacific Partnership;
U.S./EU cross-border regulatory issues;
India Market Access Issues, Response to Royal Bank of India discussion;
European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets;
EU Alternative Investment Fund Managers Proposal (AIFM);
Basel Capital Rules;
G-20;
Regulatory Capital Requirements;
Accounting standards for municipalities;
Securities Investor Protection Corporation (SIPC) reform and funding fees;
Financial Stability Board Outreach;
Establishment of the Office of Financial Research;
Bankruptcy reform for municipalities;
Financial Stability Oversight Council (FSOC);
Support of financial literacy;
Privacy and cyber security issues;
Self-Regulatory Organizations (SRO) rulemaking.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, Natl Economic Council (NEC), Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR), Commerce - Dept of (DOC), Commodity Futures Trading Commission (CFTC)
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 |
Tim |
Ryan |
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Kenneth |
Bentsen |
Jr. |
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John |
Hallmark |
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Cory |
Strupp |
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Bradley |
Edgell |
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David |
Strongin |
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Kevin |
Carroll |
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Joseph |
Vaughan |
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Nancy |
McCarthy |
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Carter |
McDowell |
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Michael |
Decker |
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Lisa |
Bleier |
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Matthew |
McGinley |
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CoS Repub.Policy Cmt Chr Tom Price 2010-11 |
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Matthew |
McGinley |
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CoS, Rep. Tom Price, 2004-11 |
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Matthew |
McGinley |
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CoS, LD, Counsel, Rep. Brian Kerns, 2002-03 |
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Steve |
Pastrick |
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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. 11 (Build America Bonds to Create Jobs Now Act of 2011);
H.R. 747 (Build America Bonds Extension Act of 2011);
H.R. 992 (Building American Jobs Act of 2011)(infrastructure tax legislation);
H.R. 1439 (Business Activity Tax Simplification Act of 2011);
H.R. 2495 (Tax Equity and Middle Class Fairness Act of 2011);
S. 727 (Bipartisan Tax Fairness and Simplification Act of 2011);
Dodd-Frank Wall Street Reform and Consumer Protection Act Implementation;
Fair Playing Field Act of 2010 (worker classification);
Public Employee Pension Transparency Act of 2010;
Expansion of Build America Bond Rules to Tax Credit Bonds;
Tax rules relating to regulation of over-the-counter derivative contracts;
Financial Transaction Tax Proposals;
Tax issues related to standardization of credit default swaps;
Extension of Active Financing Rules;
Tax issues related to implementation of charge for failure to deliver Treasury securities;
Administration's Financial Crisis Responsibility Fee;
Tax issues related to interest expense allocation;
Tax treatment of capital gains and dividends;
Taxation of independent contractors;
Taxation of cross-border equity swaps;
Corporate tax reporting rules;
Tax reporting requirements for foreign financial institutions on certain foreign accounts;
Foreign Account Tax Compliance Act (FATCA), provisions enacted under the Hiring Incentives to Restore Employment Act (Notice 2010-60 and Notice 2011-34);
Extension of the Alternative Minimum Tax, tax exemption for private activity bonds;
Notice 2010-46 (Tax withholding on substitute dividend payments);
Securities cost basis reporting regulations;
Tax rules relating to Bearer Bonds;
Taxation of Transportation and Regional Infrastructure Project (TRIP) Bonds;
Tax rules relating to novation of swap contracts.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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 |
Tim |
Ryan |
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Kenneth |
Bentsen |
Jr. |
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Nancy |
McCarthy |
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John |
Hallmark |
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Joseph |
Vaughan |
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Michael |
Decker |
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Bradley |
Edgell |
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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. 567 (Public Employee Pension Transparency Act);
S. 347 (Public Employee Pension Transparency Act);
DOL ERISA Fiduciary Duty Rulemaking;
Partial rollovers;
Business Conduct Standards.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, Labor - Dept of (DOL), Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC)
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 |
Tim |
Ryan |
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Kenneth |
Bentsen |
Jr. |
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John |
Hallmark |
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Carter |
McDowell |
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Lisa |
Bleier |
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Joe |
Vaughan |
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Michael |
Decker |
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Bradley |
Edgell |
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Matthew |
McGinley |
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CoS, Repub.Policy Cmte Chair Tom Price 2010-11 |
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Matthew |
McGinley |
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CoS, Rep. Tom Price, 2004-11 |
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Matthew |
McGinley |
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CoS, LD, Counsel, Rep. Brian Kerns, 2002-03 |
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: 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 |