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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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State | |
Zip Code | |
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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 | 2008 |
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. | ||||||||
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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 |
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| Signature | Digitally Signed By: Dean R. Sackett III, Government Affairs Officer |
Date | 01/21/2009 |
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. 1171 Money Market Fund Parity Act of 2007 (mutual fund competitiveness)
H.R. 1257 Shareholder Vote on Executive Compensation Act (proxy vote disclosure)
H.R. 3225 Mutual Fund Fee Reform Act (12b-1 fees)
H.R. 6308 Municipal Bond Fairness Act
H.R. 6333 Municipal Bond Market Support Act of 2008
H.R. 6377 Energy Markets Emergency Act of 2008
H.R. 6604 Commodity Markets Transparency and Accountability Act of 2008
H.R. 6796 VULTURE Funds Act
S. 2136 Helping Families Save Their Homes in Bankruptcy Act of 2007 (mortgage modification)
S. 3445 Comprehensive Iran Sanctions, Accountability and Divestment Act of 2008
S. 3714 Derivatives Trading Integrity Act of 2008 (CDS)
Financial Regulatory Structure Modernization
Closed-End Funds / AMPS
Money Market Mutual Fund Guarantee Program
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 |
Dean R. |
Sackett |
III |
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Donald C. |
Auerbach |
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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. 2167 Automatic IRA Act of 2007
S. 1141 Automatic IRA ACt of 2007
H.R. 5160 Small Businesses Add Value for Employees (SAVE) Act of 2008 (Auto IRA)
H.R. 3185 401(k) Fair Disclosure for Retirement Security Act of 2007 (401(k) disclosure)
H.R. 3765 Defined Contribution Plan Fee Transparency Act of 2007 (401(k) disclosure)
S. 2473 Defined Contributions Fee Disclosure Act of 2007 (401(k) disclosure)
S. 3278 401(k) Debit Card Loans
H.R. 6708 401(k) Debit Card Loans
H.R. 7327 Worker, Retiree, and Employer Recovery Act of 2008 (RMD, PPA technical corrections)
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 |
James R. |
Hart |
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Dean R. |
Sackett |
III |
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Donald C. |
Auerbach |
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Peter J. |
Gunas |
III |
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Michael |
Hadley |
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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. 1424 Emergency Economic Stabilization Act of 2008 (cost basis reporting, flow through)
H.R. 2796 Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act of 2007
S. 2126 Generating Retirement Ownership Through Long-Term Holding (GROWTH) Act of 2007
H.R. 2205 Retirement Security for Life Act of 2007 (lifetime annuity)
S. 1010 Retiremet Security for Life Act of 2007 (lifetime annuity)
H.R. 4912 Taxation of Prepaid Derivative Contracts (ETN)
Modernizing Tax Rules for Regulated Investment Companies
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 |
James R. |
Hart |
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Dean R. |
Sackett |
III |
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Peter J. |
Gunas |
III |
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Donald C. |
Auerbach |
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Michael |
Hadley |
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Karen |
Gibian |
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Keith |
Lawson |
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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 |