|
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)
| City | |
State | |
Zip Code | |
Country | |
|
5. Senate ID# 20128-12
|
||||||||
|
6. House ID# 311170000
|
||||||||
| 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 | |||||||||
|---|---|---|---|---|---|---|---|---|---|
| 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: Dean R. Sackett III, Chief Government Affairs Officer & Co-Head, Government Affairs |
Date | 01/20/2011 |
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 FIN
16. Specific lobbying issues
S. 139 Data Breach Notification Act
S. 1074 Shareholder Bill of Rights Act of 2009 (proxy access)
S. 1389 Fixed Indexed Annuities and Insurance Products Classification Act of 2009
S. 1964 Mutual Fund Transparency Act of 2009
S. 3258 Modernizing and Strengthening Investor Protection Act of 2010
S. 3742 Data Security and Breach Notification Act of 2010
H.R. 1160 Money Market Fund Parity Act of 2009
H.R. 2221 Data Accountability and Trust Act (notice of breach)
H.R. 2733 Fixed Indexed Annuities and Insurance Products Classification Act of 2009
H.R. 2861 Shareholder Empowerment Act of 2009 (proxy access)
H.R. 3351 Proxy Voting Transparency Act of 2009
H.R. 4790 Shareholder Protection Act of 2010 (political activity)
H.R. 6334 American Community Investment Reform Act of 2010 (CRA)
Money Market Mutual Fund Regulation
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 |
Donald C |
Auerbach |
|
|
|
Dean R. |
Sackett |
III |
|
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
S. 401 Defined Contribution Fee Disclosure Act of 2009
S. 2832 Lifetime Income Disclosure Act
S. 3760 Automatic IRA Act of 2010
Target Date Funds (Kohl)
H.R. 2779 Defined Contribution Plan Fee Transparency Act of 2009 (Neal)
H.R. 4742 SAVE Act (Automatic IRA)
H.R. 2989 401(k) Fair Disclosure and Pension Security Act of 2009 (Miller)
H.R. 4146 Sensible Transparency for Retirement Plans Act of 2009 (Kline)
H.R. 6099 Automatic IRA Act of 2010
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 |
Donald C. |
Auerbach |
|
|
|
Allen |
Huffman |
|
|
|
Dean R. |
Sackett |
III |
|
|
Peter J. |
Gunas |
III |
|
|
Michael L. |
Hadley |
|
|
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
S. 1082 GROWTH Act
S. 1297 Retirement Security for Life Act of 2009 (annuities)
S. 3793 Job Creation and Tax Cuts Act of 2010 (flow-through)
S. 3948 Regulated Investment Company Modernization Act of 2010
H.R. 2748 Retirement Security Needs Lifetime Pay Act of 2009 (annuities)
H.R. 3429 GROWTH Act
H.R. 4126 Retirement Fairness Act of 2009 (retirement plan nondiscrimination)
H.R. 4337 Regulated Investment Company Modernization Act of 2010
H.R. 4853 Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act of 2010 (capital gains/dividends, flow-through)
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 |
Donald C |
Auerbach |
|
|
|
Allen |
Huffman |
|
|
|
Dean R. |
Sackett |
III |
|
|
Peter J. |
Gunas |
III |
|
|
Keith |
Lawson |
|
|
|
James R. |
Hart |
|
|
|
Michael L. |
Hadley |
|
|
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 |