|
LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1331 L Street, NW, Suite 310 |
Address2 | |
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# 285494-12
|
||||||||
|
6. House ID# 369900000
|
TYPE OF REPORT | 8. Year | 2009 |
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: Catherine Weatherford, President & CEO |
Date | 01/15/2010 |
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 INS
16. Specific lobbying issues
Legislation and rulemakings affecting annuities, variable life products and retirement savings including Administration and Congressional proposals on financial services regulatory reform.
1297-Retired Security for Life Act, legislation to provide a tax incentive for non-qualified annuities.
HR 2748-Retirement Security Needs Lifetime Pay Act, legislation to provide tax incentives for qualified and non-qualified annuities.
HR 3126 Consumer Financial Protection Agency Act of 2009, legislation to establish the Consumer Financial Protection Agency as an independent executive agency to regulate the provision of consumer products an services.
HR 2609-legislation to establish an Office of Insurance Information within the Department of Treasury.
S 1661 Senior Investment Protection Act, legislation to protect older Americans from misleading and fraudulent marking practices in the sale of financial products.
HR 3551, Senior Investment Protection Act, legislation to protect older Americans from misleading and fraudulent marketing practices in the sale of financial products.
HR 2554-legislation to reform the National Association of Registered Agents and Brokers to provide for streamlined non-resident insurance agent and broker licensing.
Proposal with the Securities and Exchange Commission for a rulemaking to provide for the acceptance of a "summary prospectus" for variable annuities.
S. 2832, Lifetime Income Disclosure Act, legislation that proposes to amend the Employment Retirement Income Security Act of 1974 to require lifetime income disclosure.
HR 4173, The Wall Street Reform and Consumer Protection Act of 2009, legislation to provide for comprehensive financial regulatory reform including enhancements of the federal understanding of insurance issues.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC)
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 |
Catherine |
Weatherford |
|
|
|
Lee |
Covington |
|
|
|
John |
Little |
|
Senator Martinez, Chief of Staff (2005-2008) |
|
John |
Little |
|
Senator Sessions, LD/Deputy LD/Leg Counsel/ |
|
John |
Little |
|
Research Assistant/Legislative Correspondent |
|
John |
Little |
|
(1997-2005) |
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
Legislation and rulemakings affecting annuities, variable life products and retirement savings including Administration and Congressional proposals on financial services regulatory reform.
1297-Retired Security for Life Act, legislation to provide a tax incentive for non-qualified annuities.
HR 2748-Retirement Security Needs Lifetime Pay Act, legislation to provide tax incentives for qualified and non-qualified annuities.
HR 3126 Consumer Financial Protection Agency Act of 2009, legislation to establish the Consumer Financial Protection Agency as an independent executive agency to regulate the provision of consumer products an services.
HR 2609-legislation to establish an Office of Insurance Information within the Department of Treasury.
S 1661 Senior Investment Protection Act, legislation to protect older Americans from misleading and fraudulent marking practices in the sale of financial products.
HR 3551, Senior Investment Protection Act, legislation to protect older Americans from misleading and fraudulent marketing practices in the sale of financial products.
HR 2554-legislation to reform the National Association of Registered Agents and Brokers to provide for streamlined non-resident insurance agent and broker licensing.
Proposal with the Securities and Exchange Commission for a rulemaking to provide for the acceptance of a "summary prospectus" for variable annuities.
S. 2832, Lifetime Income Disclosure Act, legislation that proposes to amend the Employment Retirement Income Security Act of 1974 to require lifetime income disclosure.
HR 4173, The Wall Street Reform and Consumer Protection Act of 2009, legislation to provide for comprehensive financial regulatory reform including enhancements of the federal understanding of insurance issues.
Proposal with the Department of Treasury for some form of "auto-annuitization" to allow for a portion of an individual's retirement funds to be automatically distributed into a guaranteed lifetime income product for a two year trial period.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC), 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 |
Catherine |
Weatherford |
|
|
|
Lee |
Covington |
|
|
|
John |
Little |
|
Senator Martinez, Chief of Staff (2005-2008) |
|
John |
Little |
|
Senator Sessions, LD/Deputy LD/Leg Counsel/ |
|
John |
Little |
|
Research Assistant/Legislative Correspondent |
|
John |
Little |
|
(1997-2005) |
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
Legislation and rulemakings affecting annuities, variable life products, and retirement savings including Administration proposals on financial services regulatory reform.
S.1297-Retirement Security for Life Act, legislation to provide a tax incentive for non-qualified annuities.
HR 2748-Retirement Security Needs Lifetime Pay Act, legislation to provide tax incentives for qualified and non-qualified annuities.
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 |
Catherine |
Weatherford |
|
|
|
Lee |
Covington |
|
|
|
John |
Little |
|
Senator Martinez, Chief of Staff (2005-2008) |
|
John |
Little |
|
Senator Sessions, LD/Deputy LD/Leg Counsel/ |
|
John |
Little |
|
Research Assistant, Legislative Correspondent |
|
John |
Little |
|
1997-2008) |
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
Legislation and rulemakings affecting annuities, variable life products and retirement savings including Administration and Congressional proposals on financial services regulatory reform.
1297-Retired Security for Life Act, legislation to provide a tax incentive for non-qualified annuities.
HR 2748-Retirement Security Needs Lifetime Pay Act, legislation to provide tax incentives for qualified and non-qualified annuities.
HR 3126 Consumer Financial Protection Agency Act of 2009, legislation to establish the Consumer Financial Protection Agency as an independent executive agency to regulate the provision of consumer products an services.
HR 2609-legislation to establish an Office of Insurance Information within the Department of Treasury.
S 1661 Senior Investment Protection Act, legislation to protect older Americans from misleading and fraudulent marking practices in the sale of financial products.
HR 3551, Senior Investment Protection Act, legislation to protect older Americans from misleading and fraudulent marketing practices in the sale of financial products.
HR 2554-legislation to reform the National Association of Registered Agents and Brokers to provide for streamlined non-resident insurance agent and broker licensing.
Proposal with the Securities and Exchange Commission for a rulemaking to provide for the acceptance of a "summary prospectus" for variable annuities.
S. 2832, Lifetime Income Disclosure Act, legislation that proposes to amend the Employment Retirement Income Security Act of 1974 to require lifetime income disclosure.
HR 4173, The Wall Street Reform and Consumer Protection Act of 2009, legislation to provide for comprehensive financial regulatory reform including enhancements of the federal understanding of insurance issues.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC)
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 |
Catherine |
Weatherford |
|
|
|
Lee |
Covington |
|
|
|
John |
Little |
|
Senator Martinez, Chief of Staff (2005-2008) |
|
John |
Little |
|
Senator Sessions, LD/Deputy LD/Leg Counsel/ |
|
John |
Little |
|
Research Assistant/Legislative Correspondent |
|
John |
Little |
|
(1997-2005) |
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 |