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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1401 H STREET, NW |
Address2 | SUITE 1200 |
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# 20128-12
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6. House ID# 311170000
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TYPE OF REPORT | 8. Year | 2020 |
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: Dean R. Sackett III |
Date | 4/20/2020 11:39:50 AM |
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. 748 - Coronavirus Aid, Relief, and Economic Security Act (Sections 4003, 4008, 4010, 4015)
H.R. 3561 - Financial Stability Oversight Council Improvement Act of 2019 (Foster)
H.R. 3701 - Statute of Limitations for Certain SEC Actions (Gonzalez)
H.R. 3987 - Alleviating Stress Test Burdens to Help Investors Act (Loudermilk)
H.R. 4335 - 8-K Trading Gap Act of 2019 (Maloney)
H.R. 4492 - Consumer Financial Choice and Capital Markets Protection Act of 2019 (Moore)
H.R. 4895 - CFTC Reauthorization Act of 2019 (Peterson)
S. 603 - Financial Stability Oversight Council Improvement Act of 2019 (Rounds)
S. 733 - Consumer Financial Choice and Capital Markets Protection Act of 2019 (Toomey)
S. 1200 - Secure and Fair Enforcement Banking Act of 2019 (Merkley)
CFTC Rule 4.5
Closed-End Funds
Consolidated Audit Trail
Cross-Border Derivatives (Definition of US Person)
Diverse Investment Advisers Act
Environmental, Social, and Governance Investing
Exchange-Traded Funds
Housing Finance Reform
Money Market Mutual Fund Liquidity Facility and other Federal Reserve Facilities
Mutual Fund Litigation Reform Act (Emmer)
Proxy Advisory Firms/Proxy Voting
Retail Investor Access to Private Offerings
SEC Cybersecurity and Data Protection
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Dean |
Sackett |
III |
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Kelly |
Hitchcock |
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Kerry |
Cole |
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Cynthia |
Pullom |
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Kathleen |
Mellody |
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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
Receiving Electronic Statements to Improve Retiree Earnings Act
Department of Labor Electronic Disclosure Rulemaking
Department of Labor Fiduciary Rulemaking
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 |
Peter |
Gunas |
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Andrew |
Goldenbaum |
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Dean |
Sackett |
III |
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Kathleen |
Mellody |
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Allen |
Huffman |
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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. 748 - Coronavirus Aid, Relief, and Economic Security Act (Sections 2202, 2203)
H.R. 6257 - Public Service Retirement Fairness Act (Panetta)
S. 1431 - Retirement Security and Savings Act of 2019 (Portman)
Annuities in DC Plans/Annuitization
Automatic Retirement Plan Act (Neal)
Capital Gains Taxation
Financial Transaction Tax
Portable Retirement and Investment Account Act (Himes)
RIC tax return filing deadline extension relating to COVID-19
Retirement Plan Simplification and Enhancement Act (Neal)
Preserving Retirement Savings Tax Incentives
Tax Exemption for Municipal Bond Interest
Tax Parity for US Mutual Funds Act
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Peter |
Gunas |
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Dean |
Sackett |
III |
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Allen |
Huffman |
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Andrew |
Goldenbaum |
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Kathleen |
Mellody |
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Elena |
Chism |
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Karen |
Gibian |
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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 BUD
16. Specific lobbying issues
FY 2021 Financial Services and General Government Appropriations Act
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 |
Dean |
Sackett |
III |
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Kelly |
Hitchcock |
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Kerry |
Cole |
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Cynthia |
Pullom |
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Kathleen |
Mellody |
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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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4 |
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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) |