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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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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 | 01/19/2011 |
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
H.R. 4173 Dodd-Frank Wall Street Reform and Consumer Protection Act (and S. 3217 Restoring American Financial Stability Act of 2010) - Title 7: derivatives; Title 10: CFPB; Title 11: treatment of creditors
H.R. 3126 Consumer Financial Protection Agency Act of 2009
(see attached addendum sheet)
H.R. 3126 - Consumer Financial Protection Agency - re: issues affecting money market funds
H.R. 2589 - Municipal Bond Insurance Enhancement Act of 2009
H.R. 2551 - Municipal Market Liquidity Enhancement Act of 2009
H.R. 2549 - Municipal Bond Fairness Act
H.R. 1669 - Federal Municipal Bond Marketing Support and Securitization
H.R. 1754 - Financial System Stabilization and Reform Act of 2009 - re: systemic risk regulation
H.R. 1349 - Federal Accounting Oversight Board Act of 2009 - re: accounting principles and standards
H.R. 1728 - Mortgage Reform and Anti-Predatory Lending Act
H.R. 1106 - Helping Families Save Their Homes Act of 2009 - re: bankruptcy cram down
H.R. 4337 - Regulated Investment Company Modernization Act of 2010 (use of commodities provision)
S. 895 - Helping Families Save Their Homes Act of 2009 - re: servicer safe harbor provisions
S. 896 - Helping Families Save Their Homes Act of 2009 - re: amendment #1019 to make changes in the safe harbor
S. 664 - Financial System Stabilization and Reform Act of 2009 - re: systemic risk regulation
S. 722 - Taxpayer Certainty and Relief Act of 2009 - re: dividend and capital gain tax rates
Issues related to definition of major swap participants
Issues related to nature of collateral for cleared swaps
Issues related to swap execution facility trading and reporting
Issues related to systemic risk regulation
Issues related to OTC derivatives trading
Issues related to market structure matters
Issues related to target date funds
Issues related to investment advice
Issues related to municipal disclosure & Tower Amendment
Issues related to Basel III and Volcker rules
Issues related to SEC proxy access proposal
Issues related to SEC proposed changes to Regulation AB2
Issues related to the supervision and regulation of certain nonbank financial institutions
Issues related to legislation and regulations affecting the mutual fund industry
Proposals related to money market funds (floating net asset value, liquidity)
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Commodity Futures Trading Commission (CFTC), Securities & Exchange Commission (SEC), Treasury - Dept of, White House Office
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 for Retirement Security Act
H.R. 1988 Conflicted Investment Advice Prohibition Act of 2009
(see attached addendum page)
H.R. 2021 Savings Recovery Act of 2009
H.R. 2779 Defined Contribution Plan Fee Transparency Act
H.R. 2989 401(k) Fair Disclosure and Pension Security Act
H.R. 4213 American Jobs and Closing Tax Loopholes Act of 2010
S. 401 Defined contribution Fee Disclosure Act of 2009
S. 3760 Automatic IRA Act of 2010
S. 6099 Automatic IRA Act of 2010
H.R. 4742 Small Businesses Add Value for Employees Act
H.R. 4126 Retirement Fairness Act
Proposals to reform of the defined contribution plan system
Proposals related to retirement savings
Proposals related to defined contribution plan fees and fee disclosure practices
Proposals related to the index fund mandate provision of H.R. 2989
Proposals related to the investment advice rules provision in H.R. 1988
Proposals related to mandated workplace savings arrangements for employees without access to employer retirement plans as included in S. 3760 and H.R. 6099
Proposals related to expansion of SIMPLE IRAs
Proposals related to the establishment of discretionary payroll deduction IRAs
Proposals related to the creation of new qualified retirement plans for small business (H.R. 4742 and H.R. 4126)
Proposals related to 401(k) plan loans and rollover loans to IRAs
Proposals related to expanding the definition of fiduciary under ERISA
Issues related to stable value funds in retirement plans
Issues related to securities lending in retirement funds
Issues related to retirement target date funds
Issues related to tax incentives for retirement savings
Proposals related to stemming leakage from 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 - Security transaction tax proposals
H.R. 4337 - Regulated Investment Company Modernization Act of 2010
H.R. 4853 - Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act of 2010
(see attached addendum page)
General tax issues related to mutual funds
Tax loss carryforwards
Capital gain and dividend tax rates as they relate to mutual funds
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 |