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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 1295 STATE STREET |
Address2 | |
| City | SPRINGFIELD |
State | MA |
Zip Code | 01111-0001 |
Country | USA |
3. Principal place of business (if different than line 2)
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Zip Code | |
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5. Senate ID# 23986-12
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6. House ID# 319680000
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| TYPE OF REPORT | 8. Year | 2010 |
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: Kenneth S. Cohen, Sr. Vice President & Deputy General Counsel |
Date | 01/19/2011 |
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
"The Dodd-Frank Wall Street Reform & Consumer Protection Act", P.L. No. 111-203, regulatory implementation of provisions relating to insurance companies.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Treasury - Dept of, 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 |
Cohen |
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Alison |
Weiss |
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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 HCR
16. Specific lobbying issues
Regulatory implementation of the "Patient Protection & Affordable Care Act (PPACA)".
DOL hearing on reasonable contracts or arrangements for welfare benefit plans under Section 408(b)(2) - Welfare Plan Fee Disclosure, 75 FR 68383 (11/5/10).
17. House(s) of Congress and Federal agencies Check if None
Health & Human Services - Dept of (HHS), Labor - Dept of (DOL), 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 |
Kenneth |
Cohen |
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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
See Addendum.
H.R. 4915, "Senate Amendment 4848", relating to technical corrections of defined benefit plans pension funding rules of the Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act of 2010, Cong. Rec. S10694 (12/18/10).
H.R. 5297, "Small Business Jobs Act of 2010", Sections 211-213, relating to partial annuitization and in-plan Roth conversions - became Public Law No. 111-240.
Dept. of Labor, final rule adding Section 2550.404(a) and revised rule Section 2550.404 c-1 (fiduciary requirements for disclosure in participant-directed individual account plans), 75 FR 64910-64946 (10/20/10).
Dept. of Labor, proposed rule amending Section 2510.3-21 c, (definition of term "fiduciary"), 75 FR 65263 (10/22/10).
Dept. of Labor, proposed rule relating to Target Date Disclosure, Section 2550.404 a-5 (11/29/10).
IRS Notice 2010-84, guidance relating to rollovers from 401(k) and 403(b) plans to designated Roth Accounts within the same plan (11/29/10).
No Bill Number, Senate Special Committee on Aging, inquiry relating to stable value funds.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Labor - Dept of (DOL), 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 |
Kenneth |
Cohen |
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Camille |
Donald |
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Alison |
Weiss |
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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
See Addendum.
President Obama Administration's proposal: "Financial Crisis Responsibility Fee" - No Bill Number.
SEC proposed rule on "Mutual Fund Distribution Fees" - [Release Nos. 33-9128; 34-62544; IC-29367; fiel No. 57-15-10] (7/21/10).
SEC study re. "Obligations of Brokers, Dealers and Investment Advisors" - [Release No. 34-62577; IA-3058; File No. 4-606] (7/27/10).
SEC and CFTC, proposed rule 17 CFR Part 240, further definition of "Swap Dealer", "Security Based Swap Dealer", "Major Swap Participant", etc., SEC Release No. 34-63452 (12/7/10).
SEC proposed rule, "Implementig Amendments to the Investment Advisors Act of 1940", which includes proposed amendments to the SEC Pay-to-Play Rule 206(4)-5, 75 FR 7702 (12/10/10).
Federal Reserve Board, proposed Rule 12 CFR, Part 225, "Conformance period for entities engaged in prohibited private funding or private equity fund or hedge fund activities, 75 FR 7272 (11/26/10).
Financial Stability Oversight Counsel, Advanced notice of proposed rulemaking regarding authority to require supervision of certain non-bank financial companies, 75 FR 61653 (10/6/10).
FDIC notice of proposed rulemaking implementing certain orderly liquidation authority provisions of the "Dodd-Frank Wall Street Reform and Consumer Protection Act", 75 FR 64170 (10/19/10).
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Federal Reserve System, 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 |
Kenneth |
Cohen |
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Alison |
Weiss |
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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
See Addendum.
S. 3948, "Regulated Investment Company Modernization Act of 2009", became Public Law No. 111-325.
H.R. 4337, "Regulated Investment Company Modernization Act of 2009", became Public Law No. 111-325.
H.R. 4853, "Tax Relief, Unemployment Insurance Reauthorization and Job Creation Act of 2010", became Public Law No. 111-312, provisions relating to capital gains rates, stock dividend tax rates, estate tax, gift tax, and business tax extender relating to Subpart F, active financing income.
Treasury Department Explanation of the Administrations FY-2010 Budget Tax proposals to (1) modify the dividends received deduction for life insurance company separate accounts; (2) reporting of sales of existing life insurance contracts with a death benefit of $1 million or more; (3) interest expense disallowance for corporate-owned life insurance (COLI) policies; and (4) international tax reforms. General Explanations of the Administration's FY-2010 Revenue Proposals, Department of Treasury (May 2009), "Greenbook" - No Bill Number.
No Bill Number - a possible Senate bill to enact recommendations of President Obama's "National Commission on Fiscal Responsibility and Reform" (12/10).
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 |
Ann |
Cammack |
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Kenneth |
Cohen |
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Alison |
Weiss |
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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 |