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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 101 CONSTITUTION AVE., NW #912 WEST |
Address2 | |
City | WASHINGTON |
State | DC |
Zip Code | 20001 |
Country | USA |
3. Principal place of business (if different than line 2)
City | Minneapolis |
State | MN |
Zip Code | 55474 |
Country | USA |
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5. Senate ID# 302313-12
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6. House ID# 378270000
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TYPE OF REPORT | 8. Year | 2012 |
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: Denise Gwyn Ferguson, Senior Vice President, Federal Government Affairs |
Date | 10/19/2012 |
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 AVI
16. Specific lobbying issues
S. 1477 BARR Preservation Act of 2011; entire bill
17. House(s) of Congress and Federal agencies Check if None
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 |
Denise |
Ferguson |
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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 FIN
16. Specific lobbying issues
H.R. 940 - United States Covered Bond Act of 2011; entire bill
H.R. 2577 - SAFE Data Act; provisions applicable to financial institutions
H.R. 2827 - To amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors, and for other purposes; provisions relating to broker dealers
H.R. 3523 - Cyber Intelligence Sharing and Protection Act of 2011; entire bill
H.R. 4624 - Investment Adviser Oversight Act of 2012; entire bill
H.R. 6204 - Investment Adviser Examination Improvement Act of 2012; entire bill
H.R. 6397 - Defending American Taxpayers From Abusive Government Takings Act of 2012; entire bill
H.R. 6423 - Insurance Consumer Protection and Solvency Act of 2012; entire bill
S. 1151 Personal Data Privacy and Security Act of 2011; provisions applicable to financial institutions
S. 1207 Data Security and Breach Notification Act of 2011; provisions applicable to financial institutions
S. 1434 Data Security Act of 2011; provisions applicable to financial institutions
S. 1606 Regulatory Accountability Act of 2011; entire bill
S. 1615 Financial Regulatory Responsibility Act of 2011; entire bill
S. 2223 - A bill to address the implementation of certain prohibitions under the Bank Holding Company Act of 1956, and for other purposes; entire bill
S. 3620 - A bill to amend the Securities Exchange Act of 1934 to clarify provisions relating to the regulation of municipal advisors; entire bill
Impact of the Volcker Rule on market liquidity and international competitiveness of U.S.-owned asset managers
Implementation of Sections 913/914 of Dodd-Frank Wall Street Reform and Consumer Protection Act and its inter-relationship with the DoL ERISA fiduciary definition proposal
Impact of DFA and mortgage settlement initiatives on investors/creditors interests
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 |
Denise |
Ferguson |
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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 INS
16. Specific lobbying issues
H.R. 1026 Flood Insurance Reform Priorities Act of 2011; entire bill
H.R. 1112 - National Association of Registered Agents and Brokers Reform Act of 2011; entire bill
H.R. 1173 - Fiscal Responsibility and Retirement Security Act of 2011; provisions relating to the CLASS Act
H.R. 1309 - Flood Insurance Reform Act of 2011; entire bill
H.R. 3475 - Keeping IDs Safe Act of 2011; entire bill
H.R. 3559 Insurance Data Protection Act; entire bill
H.R. 4348 - Moving Ahead for Progress in the 21st Century Act; provisions relating to extension of the National Flood Insurance Program, student loans, and pension provisions (P.L. 112-141 7/6/2012)
S. 1091 COASTAL Act of 2011; entire bill
S. 1940 - An original bill to amend the National Flood Insurance Act of 1968, to restore the financial solvency of the flood insurance fund, and for other purposes; entire bill
Disparate impact rulemaking and potential implications for homeowners insurance underwriting
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 |
Denise |
Ferguson |
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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. 677 - The Lifetime Income Disclosure Act; entire bill
H.R. 1534 Small Businesses Add Value for Employees (SAVE) Act; entire bill
H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings (SEAL) Act; entire bill
H.R. 3561 Small Business Pension Promotion Act of 2011; entire bill
H.R. 4049 Automatic IRA Act; entire bill
H.R. 4050 Retirement Simplification and Enhancement Act; entire bill
H.R. 4348 - Moving Ahead for Progress in the 21st Century Act; provisions relating to extension of the National Flood Insurance Program, student loans, and pension provisions
S. 267 - Lifetime Income Disclosure Act; entire bill
S. 1020 The Savings Enhancement by Alleviating Leakage in 401(k) Savings Act; entire bill
S. 1121 Savings Enhancement by Alleviating Leakage in 401(k) Savings (SEAL) Act; entire bill
S. 1557 Automatic IRA Act of 2011; entire bill
S. 2132 Highway Investment, Job Creation, and Economic Growth Act of 2012; provisions relating to pension funding and inherited IRAs
S. 2252 Rebuild America Act; entire bill
Department of Labors proposed rule modifying the definition of ERISA fiduciary and its implications for the provision of advice on qualified retirement savings
Department of Labors 408(b)(2) rules and accompanying Q&As as they impact 401(k) brokerage windows.
Role retirement savings tax incentive play in assuring coverage of diverse workforces and long-term economic benefits
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 |
Denise |
Ferguson |
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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. 1864 Mobile Workforce State Income Tax Simplification Act of 2012; entire bill
H.R. 3091 To make permanent the individual income tax rates for capital gains and dividends; entire bill
H.R. 3313 Wall Street Trading and Speculators Tax Act; entire bill
H.R. 4123 Fair Playing Field Act of 2012; entire bill
H.R. 4336 - To amend the Internal Revenue Code of 1986 to extend the exclusion from gross income of discharges of qualified principal residence indebtedness; entire bill
H.R. 5746 to amend the Internal Revenue Code of 1986 to modify certain rules applicable to real estate investment trusts, and for other purposes; entire bill
H.R. 6206 - Build America Bonds Act of 2012; entire bill
H.R. 6411 - Inclusive Prosperity Act; entire bill
S. 1549 American Jobs Act; provisions relating to 28% limitations on itemized deductions and exclusion for tax-exempt interest income
S. 1647 To make permanent the individual income tax rates for capital gains and dividends; entire bill
S. 1787 Wall Street Trading and Speculators Tax Act; entire bill
S. 2075 The Cut Unjustified Tax Loopholes Act; entire bill
S. 2145 Fair Playing Field Act of 2012; entire bill
S. 2230 - Paying a Fair Share Act of 2012; entire bill
S. 3485 - Mobile Workforce State Income Tax Simplification Act of 2012; entire bill
S. 3521 - Family and Business Tax Cut Certainty Act of 2012; provisions relating to IRA charitable rollovers
Tax Extenders/Tax Reform/Deficit Reduction; provisions relating to the importance and value of existing tax incentives designed to promote long-term savings and investment (both qualified and non-qualified) and insurance coverage protection; transitional considerations associated with tax law modifications; financial transaction tax; taxation of U.S. corporations both domestically and internationally
Estate Tax; provisions relating to the need for clarification as to post-2012 treatment as to elections made under P.L. 111-312
FATCA; provisions relating to the implications for in-bound U.S. investments, U.S.-owned asset managers compliance burdens, and global competitiveness of U.S. funds
Congressman Dave Camps draft legislation to reform the international tax system
Administration FY 2013 budget; provisions relating to life insurers DRD, COLI, independent contractors, financial responsibility taxes
Other draft legislative proposals to provide greater clarity on worker classification/independent contractor criteria
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 |
Denise |
Ferguson |
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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 |