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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | P.O. BOX 2600 |
Address2 | |
City | VALLEY FORGE |
State | PA |
Zip Code | 19482 |
Country | USA |
3. Principal place of business (if different than line 2)
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Zip Code | |
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5. Senate ID# 291058-12
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6. House ID# 371950000
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TYPE OF REPORT | 8. Year | 2010 |
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: Brian S. Mattes, Principal - Government Relations |
Date | 10/19/2010 |
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. 4173 - Dodd-Frank Wall Street Reform and Consumer Protection Act
H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization
H.R. 2589 - Municipal Bond Insurance Enhancement Act of 2009
(see attached addendum page)
H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009
H.R. 2549 - Municipal Bond Fairness Act
H.R. 1754 - Financial System Stabilization and Reform Act of 2009
H.R. 1349 - Federal Accounting Oversight Board Act of 2009
H.R. 1728 - Mortgage Reform and Anti-Predatory Lending Act
H.R. 1106 - Helping Families Save Their Homes Act of 2009
H.R. 3126 - Consumer Financial Protection Agency Act of 2009
S. 895 - Helping Families Save Their Homes Act of 2009
S. 896 - Helping Families Save Their Homes Act of 2009 (amendment #1019 re safe harbor provisions)
S. 664 - Financial System Stabilization and Reform Act of 2009
S. 722 - Taxpayer Certainty and Relief Act of 2009
S. 3217 - Restoring American Financial Stability Act of 2010
OTC derivatives trading
Legislation and regulations affecting the mutual fund industry
Proposals relating to money market funds
Issues relating to market structure matters
Issues relating to target date funds
Issues relating to investment advice
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), 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 |
Brian |
Mattes |
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Ann |
Combs |
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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. 2989 - 401(k) Fair Disclosure and Pension Security Act of 2009
H.R. 1984 - 401(k) Fair Disclosure and Pension Security Act of 2009
H.R. 2021 - Savings Recovery Act of 2009
(Please see addendum page)
H.R. 2779 - Defined Contribution Plan Fee Transparency Act of 2009
H.R. 1988 - Conflicted Investment Advice Prohibition Act of 2009
H.R. 4213 - Unemployment Compensation Extension Act of 2010
H.R. 3760 - Home Buyer Tax Credit Act of 2009
H.R. 6099 - Automatic IRA Act of 2010
H.R. 4742 - SAVE Act of 2009
H.R. 4126 - Retirement Fairness Act of 2009
S. 401 - Defined Contribution Fee Disclosure Act of 2009
Proposals to reform the defined contribution plan system
Proposals to mandate workplace savings arrangements for employees without access to employer retirement plans, including automatic IRAs
Proposals related to expansion of SIMPLE IRAs, establishment of discretionary payroll deduction IRAs, and creation of new qualified retirement plans for small business
Issues related to retirement target date funds
Issues related to retirement income
Issues related to delivery of advice to participants in qualified retirement plans
Issues related to investment choices in qualified retirement plans
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, 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 |
Brian |
Mattes |
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Ann |
Combs |
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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. 4191 - Let Wall Street Pay for the Restoration of Main Street Act of 2009
H.R. 4337 - Regulated Investment Company Modernization Act of 2010
General tax issues related to mutual funds and tax incentives for retirement savings
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 |
Brian |
Mattes |
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Ann |
Combs |
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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 |