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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1099 New York Ave. NW |
Address2 | 6th Floor |
City | Washington |
State | DC |
Zip Code | 20001 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 317914-12
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6. House ID# 393430000
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TYPE OF REPORT | 8. Year | 2022 |
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 |
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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: Kenneth E. Bentsen, Jr. |
Date | 1/20/2023 5:31:07 PM |
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 BAN
16. Specific lobbying issues
Self-Regulatory Organization (SRO) Reform;
H.R. 2265 - the Financial Exploitation Prevention Act of 2021;
H.R. ____ - to amend the Securities Exchange Act of 1934 to add certain requirements for the filing and approval of proposed rule changes by self-regulatory organizations;
H.R. ____ - the "Securities Exchange Reform Act of 2022" (Rep Sherman);
H.R. 2288 - to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds;
H.R. 2634 - Local Infrastructure Financing Tools Act;
S. 1676 - Rural Broadband Financing Flexibility Act;
S. 1308 - American Infrastructure Bonds Act of 2021;
S. 1770 - Retirement Security and Savings Act of 2021;
S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act;
H.R. ____ - Capital Markets Transparency Act;
H.R. ____ - to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading;
H.R. ____ - to amend the Securities Exchange Act of 1934 to prohibit payment for order flow in the form of exchange rebates;
H.R. 4617 - To require the SEC to carry out a study on PFOF, to require the Investor Advocate of the Commission to provide recommendations on PFOF, and for other purposes;
H.R. 4618 - the Short Sale Transparency and Market Fairness Act of 2021;
H.R. 4619 - to amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes;
S. 4147 - Financial Freedom Act of 2022;
S. 1854 and H.R. 6323 - The National Critical Capabilities Defense Act;
Rule 15c2-11;
Public Law 117-328 - Consolidated Appropriations Law (FSGG report language related to the Consolidated Audit Trail);
SEC 15c2-11 staff interpretation to impact 144A private securities;
SEC proposals to modify equity market structure.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, Natl Economic Council (NEC), Office of the Comptroller of the Currency (OCC), Federal Reserve System, Federal Housing Finance Agency (FHFA), Securities & Exchange Commission (SEC), 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 |
Kenneth |
Bentsen |
Jr. |
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Carter |
McDowell |
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Bradley |
Edgell |
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Chris |
Killian |
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Lindsey |
Keljo |
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Niccole |
Rivero |
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Leslie |
Norwood |
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Cooper |
D'Anton |
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Jennie |
Jacoby |
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Matt |
Grinney |
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Nick |
Key |
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Josh |
Wilsusen |
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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 CDT
16. Specific lobbying issues
S.4760 and H. R. 8730 - The Digital Commodities Consumer Protection Act of 2022 (all provisions);
SEC proposal related to security based swaps large trader reporting;
SEC SBS large trader proposal.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Commodity Futures Trading Commission (CFTC), Federal Reserve System
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 |
Kenneth |
Bentsen |
Jr. |
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Carter |
McDowell |
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Bradley |
Edgell |
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Josh |
Wilsusen |
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Jennie |
Jacoby |
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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
Senior investors/diminished capacity investors;
Sustainable Finance;
Private Fund Proposals (SEC);
H.R. 6285 - Accelerating Holding Foreign Companies Accountable Act;
S. 479 - LOCAL Infrastructure Act;
H.R. 2288 - a bill to amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds;
FTC Hart Scott Rodino Proposals;
S. 1308 - American Infrastructure Bonds Act of 2021;
H.R. 2634 - Local Infrastructure Financing Tools Act;
S. 1676 - Rural Broadband Financing Flexibility Act;
S. 1770 - Retirement Security and Savings Act of 2021;
S. 2184 - A bill to amend the Sarbanes-Oxley Act of 2002 to institute a trading prohibition for certain issuers that retain public accounting firms that have not been subject to inspection by the Public Company Accounting Oversight Board, and for other purposes;
Public Law 117-328, Consolidated Appropriations Law (FSGG report language related to the Consolidated Audit Trail).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Natl Economic Council (NEC), Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, Homeland Security - Dept of (DHS), Natl Security Council (NSC), Office of the Comptroller of the Currency (OCC), Federal Housing Finance Agency (FHFA)
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 |
Kenneth |
Bentsen |
Jr. |
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Lisa |
Bleier |
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Bradley |
Edgell |
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Carter |
McDowell |
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Melissa |
MacGregor |
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Chris |
Killian |
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Peter |
Matheson |
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Lindsey |
Keljo |
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Leslie |
Norwood |
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Justin |
Sok |
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Niccole |
Rivero |
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Nick |
Key |
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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
Taxation of contract modifications associated with transition from LIBOR to alternative reference rates, including SOFR;
Proposals to expand bank information reporting requirements;
H.R. 5376 - Build Back Better Act;
Modernization Derivatives Tax Act;
S. 479 - LOCAL Infrastructure Act;
H.R. 2288 - To amend the Internal Revenue Code of 1986 to reinstate advance refunding bonds;
S. 817/H.R. 328 - Wall Street Tax Act of 2021;
S. 1308 - American Infrastructure Bonds Act of 2021;
S. 1676 - Rural Broadband Financing Flexibility Act;
S. 1770 - Retirement Security and Savings Act of 2021;
S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021;
H.R. 2634 - the LIFT Act;
Public Law 117-328, Consolidated Appropriations Law (Secure 2.0 retirement provisions).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Securities & Exchange Commission (SEC), Internal Revenue Service (IRS)
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 |
Kenneth |
Bentsen |
Jr. |
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Bradley |
Edgell |
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Lisa |
Bleier |
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Lindsey |
Keljo |
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Leslie |
Norwood |
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Justin |
Sok |
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Niccole |
Rivero |
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Cooper |
D'Anton |
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Jennie |
Jacoby |
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Josh |
Wilsusen |
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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
S. 1443/H.R. 2917 - Retirement Parity for Student Loans Act of 2021;
S. 1770 - Retirement Security and Savings Act of 2021;
S. 4147 - Financial Freedom Act of 2022;
PTE Changes - House;
Open Brokerage Window - House;
Enhancing American Retirement Now (EARN) Act;
Public Law 117-328, Consolidated Appropriations Law (Secure 2.0 retirement provisions).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of, Securities & Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), 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 |
Kenneth |
Bentsen |
Jr. |
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Lisa |
Bleier |
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Bradley |
Edgell |
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Tracy |
Eichler |
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Niccole |
Rivero |
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Justin |
Sok |
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Matt |
Grinney |
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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 |
CONVICTIONS DISCLOSURE
29. Have any of the lobbyists listed on this report been convicted in a Federal or State Court of an offense involving bribery,
extortion, embezzlement, an illegal kickback, tax evasion, fraud, a conflict of interest, making a false statement, perjury, or money laundering?
Lobbyist Name | Description of Offense(s) |