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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 2901 TELESTAR COURT |
Address2 | |
City | FALLS CHURCH |
State | VA |
Zip Code | 22042 |
Country | USA |
3. Principal place of business (if different than line 2)
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5. Senate ID# 26901-12
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6. House ID# 302460000
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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 | |||||||||
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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: Roland L. Panneton - Sr. Counsel |
Date | 10/19/2009 |
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 RET
16. Specific lobbying issues
HR 2830 & 1783-The Pension Protection Act-NAIFA supports legislation allowing advisors who represent companies administering 401(k) type plans to give investment advice to employees participating in those plans.
HR 7327 - Worker, Retiree and Employer Recovery Act of 2008. NAIFA supported.
HR 205 & S. 1010 - Retirement Security for Life Act would grant a federal tax exclusion up to $20,000 per year in lifetime payments from non-qualified annuuities - NAIFA supports.
HR. 2912 - Flexible Retirement for Life Act would grant the same exclusion as HR 819 but phase in the dollar amount starting at $1,000 in 2006 and increasing to $20,000 by 2015.
HR 2951 & 1359 - NAIFA supports tax incentives for both qualified and non-qualified annuities.
S-906 - Senior Investor Protection Act of 2009 provides grants to states to address issues pertaining to the marketing and sale of financial products to senior citizens. NAIFA has concerns about several provisions in the bill.
HR 2748 - Security Needs Lifetime-Pay Act of 2009. This bill would give new tax incentives to individuals who elect lifetime payments from their annuities. NAIFA supports.
HR 1984 - Imposes new notice and disclosure requirements on providers of services to 401(k) plans, and on plan sponsors. NAIFA opposed.
HR 29889 - Would restrict liability protection for employers who make investment advice available to employees enrolled in an employer's 401(k) plan. NAIFA opposed.
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President, Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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
S.2059 would repeal Rule 12b-1 fees. NAIFA supports the continued payment of fees under SEC Rule 12b-1 to broker-dealers and registered representatives as compensation for providing continuing service to their mutual fund-owning clients.
FINRA Notice to Members (NTM) 05-50 recommended that its member broker-dealers supervise Equity Indexed Annuities sales made by the b/d's reg. reps. in the same manner as if the EIA were securities. NAIFA believes NASD has overstepped its authority.
SEC issued a new Proposed Rule (Release No. 33-8933, File No. S7-14-08) that would classify certain indexed annuities as securities by creating a new Rule 151A that would change the treatment of indexed annuities under the insurance products exemption found in Section 3 (a) (8) of the Securities Act of 1933. NAIFA opposes adoption of Rule 151A.
HR 2733 & S-1389 - Fixed Indexed Annuities & Insurance Products Classification Act of 2009. The bill would nullify Rule 151A. NAIFA is neutral.
FINRA Regulatory Notice 09-25 - Requested comments by June 29 on "Whether it should propose expanding suitability obligations to all recommendations of investment products, services, and strategies made in connection with a firm's business, regardless of whether the recommendations involve securities. NAIFA opposes.
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President-Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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
Insurance Regulatory Reform - NAIFA supports principles underlying state regulation of insurance but also supports insurance regulatory reform and modernization that helps american families and businesses achieve financial security.
HR 107, S. 219, Life Insurance Employee Notification Act which would require disclosure of employee-owned life insurance coverage of an employee. NAIFA supports.
HR 2252 - NAIFA supports the COLI Best Practices Act, the House counterpart to S.219. House Resolution 912 & Senate Resolution 448 - Resolutions supporting "Life Insurance Awareness Month".
NAIFA supports these resolutions.
H.R. 1583 - Insurance Industry Competition Act of 2009 will amend the McCarran-Ferguson Act to grant the FTC and DOJ authority to enforce federal antitrust laws against the state regulated insurance industry. NAIFA opposes this bill as it will create a complicated, less efficient insurance regulatory regime.
HR 5611 - National Association of Registered Agents and Brokers Reform Act (NARAB II). NAIFA supports this proposal to improve state-based reciprocal licensing inefficiencies without creating a federal regulator.
HR 2609 - Insurance Information Act of 2009, would create an Office of Insurance Information within Department of Treasury. NAIFA supports.
HR 1880 - National Insurance Consumer Protection Act (NICPA) would allow for an optional federal charter for insurance agents and companies, and also provide consumer protections and the establishment of a new Financial Services Coordinating council that would include the new National Insurance Commissioner to serve in an advisory capacity to a new systematic risk regulator. NAIFA supports introduction and is closely reviewing specifics of bill.
HR 1705, S. 566 - Creates a Financial Product Safety Commission to provide consumers stronger protections and better information in connection with financial products and more regulatory certainty for providers. NAIFA opposes.
S.40 & HR 3200 - National Insurance Act of 2007. NAIFA supports.
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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
President Obama White House Tax Reform Panel, a subcommittee of the President's 16-member Economic Recovery Advisory Board (PERAB), will report to the President by December 4th with recommendations to simplify the tax code, reform the corporate tax structure and to reduce tax evasion. NAIFA will monitor closely.
S. 722 - NAIFA supports immediate, fiscally sound, sustainable estate tax reform that removes the estate tax burden for 99.6% of Americans. This bill would permanently reform the estate tax and would set the top estate tax rate at 45 percent and includes a $3.5 million (indexed for inflation) per person exemption from the estate tax. NAIFA supports.
17. House(s) of Congress and Federal agencies Check if None
Treasury - Dept of, 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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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
HR 1161, 62, 63 & 545, 6, 7 - new tax-advantaged savings plans in President Bush's proposed 2005 budget. NAIFA concerned about impact on life insurance and annuity sales.
HR 25, HR 411 - Legislation to make the estate tax repeal enacted in 2001 permanent. S 34 and S 135 are "reform" bills which would repeal estate tax on family farms and businesses. NAIFA & AALU support estate tax reform which removes the estate tax burden
for 99% of Americans.
HR2 - Fair Minimum Wage Act of 2007. Senate version of HR 2 caps the amount of annual income deferrable to the lesser of $1,000,000 per year on the average of the last 5 years salary. NAIFA opposes enactment of a cap on deferred compensation.
HR 5719 - NAIFA opposes the "Tax Payor Simplification Act".
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant, Gov't Relations |
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 CSP
16. Specific lobbying issues
HR 3997 & 2169 - Financial Data Protectioin Act of 2006. NAIFA supports laws to prevent identity theft, but is concerned that Congress could go too far and pass laws that conflict with existing privacy laws such as GLBA & FCRA. Also, any new security law should preempt sate law.
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President-Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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 HCR
16. Specific lobbying issues
HR 525 & S 406 - Association Health Plans. NAIFA opposes exempting AHP's from state benefit, regulatory oversight and solvency laws. S. 1995 allows AHP's to offer only issued plans that are subject to state solvency standards. Some regulatory oversight and an "average" of state mandated coverages.
S. 725, HR 1470 - would amend IRC of 1986 to allow self emloyed individuals to deduct health insurance costs in computing self-employment taxes. NAIFA supports.
S. 703 - Provides health care for all americans, controls costs and enhances health care system quality. NAIFA opposes.
HR 1558, S. 623, HR 1092 - Amends title I of ERISA, title XXVII of the Public Service Act & IRC of 1986 to prohibit preexisting condition exclusions in group health plans and in health coverage in the group and individual markets. NAIFA opposes.
S 207 - Amend the IRC of 1986 to allow deduction for health insurance premiums. NAIFA supports.
HR 176 & HR 1177 - would allow unused flexible spending arrangement funds to be carried over to the next year. NAIFA & AHIA favors this option.
HR 27 - An "Above the line" deduction for "higher deductible" health plans coupled with HSA's. NAIFA supports.
S.4 the Health American Act. NAIFA supports many provisions but concerned over the bills support for AHPs.
HR 37, S. 978, HR 1872, HR 2063, HR 3873 creates Health Savings Accounts. NAIFA supports.
HR 3511, S. 1569. NAIFA supports allowing states to establish LTC partnerships.
HR 6331 - Would cut funding for Medicare Advantage - NAIFA opposes.
HR 2096 & S. 702 - The Long-Term Care Affordability and Security Act of 2009 expands the authority under IRC Sectioin 125 that allows individuals to pay for certain benefits offered through cafeteria plans and/or flexible spending arrangement s with pre-tax dollars. AHIA & NAIFA support.
HR 897 - Allows for Long Term Care insurance to be offered through cafeteria plans and/or FSA's as well as creates an above the line deduction for LTC premiums and provides a tax credit for caregivers. NAIFA & AHIA support.
S. 93 - A bill to provide quality affordable health insurance for small employers and individuals.
S.82 - A bill to amend title XXI of the Social Security Act to reauthorize the State Children's Health Insurance Program, to limit income eligibility expansions under that program until the lowest income eligible individuals are enrolled, and for other purposes. NAIFA supports.
S. 45 - A bill to improve patient access to health care services and provide improved medical care by reducing the excessive burden the liability system places on the health care delivery system. NAIFA supports.
HR 1468 - To provide health care liability reform, and for other purposes. NAIFA supports.
HR 1413 - To amend the Internal Revenue Code of 1986 to allow certain public employees a deductioin for distributions from governmental plans for health and long-term care insurance,and for other purposes. NAIFA supports.
HR 1279 - To amend the Internal Revenue Code of 1986 to increase the contribution limits to dependent care flexible spending accounts and to provide for a carryover of unused dependent care benefits. NAIFA supports.
S. 1177 - Confidence in Long Term Cre Insurance Act would instruct the Health and Human Services Department to ask the NAIC to collect data and also create a website called "LTC Insurance Compare" to help consumers research long term care insurance. NAIFA supports.
HR 563 - To amend title XXI of the Social Security Act to require States to provide priority under the State Children's Health Insurance Program (SCHIP) to children in families with gross income below 200 percent of the Federal poverty level. NAIFA supports.
HR 542 - To amend titles XIX and XXI of the Social Security Act to permit States to rely on findings from an express plan agency to conduct simplified eligibility determinations under Medicaid and the State Children's Health Insurance Program. NAIFA supports.
HR 198 - To amend the Internal Revenue Code of 1986 to allow a deduction for amounts paid for health insurance and prescription drug costs of individuals. NAIFA supports.
HR 194 - To amend the Social Security Act to guarantee comprehensive health care coverage for all children born after 2009, and for other purposes. NAIFA opposes.
HR 109 - To provide for the offering of Health Benefit Plans to individuals, to increase funding for State high risk health insurance pools, and to promote best practice protocols for State high risk pools. NAIFA supports.
HR 15 - To provide a program of national health insurance, and for other purposes. NAIFA opposes.
HR 2 - To amend title XXI of the Social Security Act to extend and improve the Children's Health Insurance Program, and for other purposes. NAIFA opposes.
S 94 - A bill to amend the Internal Revenue Code of 1986 to provide for a nonrefundable tax credit for long-term care insurance premiums. NAIFA supports.
HR 1891 - To amend the Internal Revenue Code of 1986 to allow an above-the-line deduction for half of an individual's long-term care insruance premiums. NAIFA supports.
HR 897 - To amend the Internal Revenue Code of 1986 to allow individuals a deduction for qualified long-term care insurance premiums, use of such insurance under cafeteria plans and flexible spending arrangements, and a credit for individuals with long-term care needs. NAIFA supports.
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 |
Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Diane |
Boyle |
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Executive Vice President |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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 EDU
16. Specific lobbying issues
HR 2622 - Fact Act signed into law December 4, 2003. NAIFA worked to include literacy provisions in the bill and will continue to work to secure funding for insurance and other financial literacy programs.
H.Res. 16 - Supporting goals and ideals of Life Insurance Awareness Month. NAIFA supports.
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant - Gov't Relations |
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 DEF
16. Specific lobbying issues
HR 458 & S 418 - clarifies the jurisdictioin of state insurance regulators and the Dept. of Defense in regulating insurance agents who operate on-base. On September 29, 2006 President Bush signed the Military Personnel Financial Services Protection Act. NAIFA supported and is also supporting states promulgation of the NAIC's Military Sales Practices Model Regulation.
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 |
William |
Anderson |
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Sr. Vice President - State Gov't Relations |
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Michael |
Kerley |
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Sr. Vice President - Federal Gov't Relations |
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Jill |
Edwards |
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Asst. Vice President - Federal Gov't Relations |
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Roland |
Panneton |
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Sr. Counsel - Gov't Relations |
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Gary |
Sanders |
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Vice President - Securities & State Gov't Relations |
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Jennifer |
Piantedosi |
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Legislative Assistant |
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.
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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
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AFFILIATED ORGANIZATIONS
25. Add the following affiliated organization(s)
Internet Address:
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26. Name of each previously reported organization that is no longer affiliated with the registrant or client
1 | 3 | 5 |
2 | 4 | 6 |
FOREIGN ENTITIES
27. Add the following foreign entities:
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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 | 5 | 9 |
2 | 6 | 10 |
3 | 7 | 11 |
4 | 8 | 12 |