|
LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1100 Vermont Avenue, NW |
Address2 | 10th Floor |
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 | 2023 |
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: Wayne Chopus, President & CEO |
Date | 4/19/2023 11:08:18 AM |
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
DOL - EBSA - Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters.
DOL - EBSA - Definition of the Term Fiduciary - RIN 1210-AC02.
DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328).
DOL - Wage and Hour Division - Employee or Independent Contractor Classification Under the Fair Labor Standards Act -- 87 FR 62218/RIN 1235-AA43.
Elder Justice Reauthorization and Modernization Act of 2021 (S.2674/H.R. 4969 - 117th Congress).
FINRA -Request for Comment on Effective Practices and Rule Enhancements for Sales Practice Obligations for Complex Products and Options (Regulatory Notice 22-08).
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws.
Legislation to maintain and protect the diverse array of retirement plan structures.
Legislation to provide favorable tax treatment for guaranteed lifetime income.
Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions.
Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions.
SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] RIN 3235-AN08.
SEC - Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents - 17 CFR Parts 232, 240, 242 and 249 [Release No. 34-97142; File No. S7-06-23] RIN 3235-AN15.
SEC - Implementation and Enforcement of Regulation BI and Form CRS.
SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA-Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules.
SEC - Proposal to Create a RILA Registration Form.
SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices (17 CFR Part 200, 230, 232, 239, 249, 274, and 279, RIN: 3235-AM96).
SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors (17 CFR 210, 229, 232, 239, and 249, RIN 3235-AM87).
SEC - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274/RIN 3235-AM52.
The Automatic Reenroll Act (S.3712/H.R.6782 - 117th Congress).
The Data Privacy Act (H.R.1165 - 118th Congress).
The Empowering States to Protect Seniors from Bad Actors Act (H.R. 5914 - 117th Congress).
The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress).
The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress).
The Lifetime Income for Employees Act (H.R. 6746 - 117th Congress).
The Retirement Security and Savings Act of 2021 (Section 201(5)) (S.1770 - 117th Congress).
The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress).
The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996 - 117th Congress).
The Securing a Strong Retirement Act (Section 104 - Enhanced 403b Plans - House Committee on Ways and Means) (H.R.2954 - 117th Congress).
The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625/H.R. 3962 - 117th Congress).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Treasury - Dept of, Internal Revenue Service (IRS), 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 |
Paul |
Richman |
|
|
|
John |
Jennings |
|
|
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
Build Back Better Act (Title XII, Committee on Ways and Means, Subtitle B, Part 1, Automatic Contribution Plans and Arrangements) (H.R. 5367 - 117th Congress).
DOL - EBSA - Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters.
DOL - EBSA - Definition of the Term Fiduciary - RIN 1210-AC02.
DOL - EBSA - Employee Benefits Security - Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) - 29 CFR Part 2550/Z-RIN 1210 ZA07.
DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328).
DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29.
DOL - EBSA - Notice of Reopening Comment Period of Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) (29 CFR 2550).
DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20.
DOL - EBSA - Proposed Rule - Definition of the Term "Fiduciary", 29 CFR 2510.3-21 (RIN: 1210-AC02).
DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
DOL - Wage and Hour Division - Employee or Independent Contractor Classification Under the Fair Labor Standards Act -- 87 FR 62218/RIN 1235-AA43.
Elder Justice Reauthorization and Modernization Act of 2021 (S.2674/H.R. 4969 - 117th Congress).
FINRA -Request for Comment on Effective Practices and Rule Enhancements for Sales Practice Obligations for Complex Products and Options (Regulatory Notice 22-08).
Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress).
Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation.
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws.
Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans.
Legislation to clarify Form 5500 reporting requirement for retirement plans filing under a Group of Plans.
Legislation to maintain and protect the diverse array of retirement plan structures.
Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65.
Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings.
Legislation to provide favorable tax treatment for guaranteed lifetime income.
Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions.
Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions.
SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] RIN 3235-AN08.
SEC - Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents - 17 CFR Parts 232, 240, 242 and 249 [Release No. 34-97142; File No. S7-06-23] RIN 3235-AN15.
SEC - Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report - 17 CFR Parts 202, 232, 240, 249, and 249b [Release Nos. 33-11176; 34-97182; IC-34864; File No. S7-08-23] RIN 3235-AL85.
SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023.
SEC - Implementation and Enforcement of Regulation BI and Form CRS.
SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA-Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules.
SEC - Proposal to Create a RILA Registration Form.
SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting, 17 CFR Parts 270 and 274 (RIN 3235-AM98).
SEC - Proposed Rule - Safeguarding Advisory Client Assets, 17 CFR Parts 275 and 279 (RIN 3235-AM32).
SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices (17 CFR Part 200, 230, 232, 239, 249, 274, and 279, RIN: 3235-AM96).
SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors (17 CFR 210, 229, 232, 239, and 249, RIN 3235-AM87).
SEC - Proposed Rule Investment Company Names (17 CFR Parts 232, 270 and 274, RIN: 3235-AM72).
SEC - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information - 17 CFR Parts 240, 248, 270, and 275 [Release Nos. 34-97141; IA-6262; IC-34854; File No. S7-05-23] RIN 3235-AN26.
SEC - Request for Comment on Certain Information Providers Acting as Investment Advisers (17 CFR Parts 270 and 275, RIN 3235- AM95).
SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - RIN 3235-AN00 (Release Nos. 34-92766; IA-5833; File No. S7-10-21).
SEC - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 Release No. IA-6240; File No. S7-04-23 RIN 3235-AM32.
SEC - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274/RIN 3235-AM52.
The Automatic Reenroll Act (S.3712/H.R.6782 - 117th Congress).
The Data Privacy Act (H.R.1165 - 118th Congress).
The Empowering States to Protect Seniors from Bad Actors Act (H.R. 5914 - 117th Congress).
The Enhancing American Retirement Act Now (EARN) Act (Section 612) (S.4808 - 117th Congress).
The ESG Disclosure Simplification Act. (H.R. 1187 - 117th Congress).
The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress).
The Expanding Access to Retirement Savings for Caregivers Act (H.R. 3644 - 117th Congress).
The Financial Exploitation Prevention Act (H.R.500-118th Congress).
The Financial Fitness Act (H.R. 5779 - 117th Congress).
The Financial Freedom Act of 2023(S.427/H.R.1177 - 118th Congress).
The General Accounts Product Clarifications Act (H.R.9515 - 117th Congress).
The Lifetime Income for Employees Act (H.R. 6746 - 117th Congress).
The Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 4610 - 115th Congress).
The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress).
The Retirement Security and Savings Act of 2021 (Section 201(5)) (S.1770 - 117th Congress).
The Richard L. Trumka Protecting the Right to Organize (PRO) Act of 2023 (S.567/H.R.20 - 118th Congress).
The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996 - 117th Congress).
The Securing a Strong Retirement Act (Section 104 - Enhanced 403b Plans - House Committee on Ways and Means) (H.R.2954 - 117th Congress).
The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625/H.R. 3962 - 117th Congress).
The Senior Security Act (S.955 - 118th Congress).
The Small Business Tax Fairness Act (S.2387-117th Congress).
The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637-115th Congress).
Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022.
Treasury - IRS - Notice 2021-03 - Extension of Temporary Relief from the Physical Presence Requirement for Spousal Consents Under Qualified Retirement Plans.
Treasury - IRS - Notice 2022-33 to Extend SECURE Act and CARES Act Amendments Deadlines.
Treasury - IRS - Proposed Rule Required Minimum Distributions (87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 RIN: 1545-BP82).
Treasury - IRS - Proposed Rulemaking: Multiple Employer Plans (26 CFR Part 1 [REG-121508-18] RIN 1545-BO97).
Treasury - IRS - Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11).
Treasury - IRS - Relief for Reporting Required Minimum Distributions for IRAs for 2023 (Notice 2023-23).
Treasury - IRS - Request for Effective Date SECURE 2.0 Act Implementation Relief.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Treasury - Dept of, Internal Revenue Service (IRS), Labor - Dept of (DOL), Government Accountability Office (GAO)
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 |
Paul |
Richman |
|
|
|
John |
Jennings |
|
|
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
Build Back Better Act (Title XII, Committee on Ways and Means, Subtitle B, Part 1, Automatic Contribution Plans and Arrangements) (H.R. 5367 - 117th Congress).
DOL - EBSA - Definition of the Term Fiduciary - RIN 1210-AC02.
DOL - EBSA - Implementation of the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022 (Public Law No: 117-328).
DOL - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
Legislation and rulemaking affecting 403(b) retirement plans and federal and state regulations governing their administration and operation.
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws.
Legislation to prohibit IRSs use of private debt collection agencies for individuals over the age of 65.
Legislation to promote, preserve and maintain tax-deferred treatment of retirement savings.
Legislation to provide favorable tax treatment for guaranteed lifetime income.
Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions.
Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions.
SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
The Automatic Reenroll Act (S.3712/H.R.6782 - 117th Congress).
The Enhancing American Retirement Act Now (EARN) Act (Section 612) (S.4808 - 117th Congress).
The Expanding Access to Retirement Savings for Caregivers Act (H.R. 3644 - 117th Congress).
The Lifetime Income for Employees Act (H.R. 6746 - 117th Congress).
The Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 4610 - 115th Congress).
The Retirement Savings for Americans Act of 2022 (S.5271/H.R.9462 - 117th Congress).
The Retirement Security and Savings Act of 2021 (Section 201(5)) (S.1770 - 117th Congress).
The Securing a Strong Retirement Act (Section 104 - Enhanced 403b Plans - House Committee on Ways and Means) (H.R.2954 - 117th Congress).
The Small Business Tax Fairness Act (S.2387-117th Congress).
The Small Businesses Add Value for Employees (SAVE) Act (H.R.4637-115th Congress).
Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
Treasury - IRS - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division T - SECURE 2.0 Act of 2022.
Treasury - IRS - Notice 2021-03 - Extension of Temporary Relief from the Physical Presence Requirement for Spousal Consents Under Qualified Retirement Plans.
Treasury - IRS - Notice 2022-33 to Extend SECURE Act and CARES Act Amendments Deadlines.
Treasury - IRS - Proposed Rule Required Minimum Distributions (87 FR 10504, 26 CFR 1 and 26 CFR 54, REG-105954-20 RIN: 1545-BP82).
Treasury - IRS - Proposed Rulemaking: Multiple Employer Plans (26 CFR Part 1 [REG-121508-18] RIN 1545-BO97).
Treasury - IRS - Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11).
Treasury - IRS - Relief for Reporting Required Minimum Distributions for IRAs for 2023 (Notice 2023-23).
Treasury - IRS - Request for Effective Date SECURE 2.0 Act Implementation Relief.
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Treasury - Dept of, Internal Revenue Service (IRS), Labor - Dept of (DOL), Government Accountability Office (GAO)
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 |
Paul |
Richman |
|
|
|
John |
Jennings |
|
|
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
DOL - EBSA - Definition of the Term Fiduciary - RIN 1210-AC02.
DOL - EBSA - Notice of Reopening Comment Period of Proposed Amendment to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption) (29 CFR 2550).
DOL - Wage and Hour Division - Employee or Independent Contractor Classification Under the Fair Labor Standards Act -- 87 FR 62218/RIN 1235-AA43.
FINRA -Request for Comment on Effective Practices and Rule Enhancements for Sales Practice Obligations for Complex Products and Options (Regulatory Notice 22-08).
Joint Resolution providing for congressional disapproval of the Department of Labors Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights Rule (S.J.Res.8/H.J. Res.30 - 118th Congress).
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform, ERISA, and securities laws.
Legislation establishing a federal regulatory framework to oversee the cryptocurrency market in and use of cryptocurrency in retirement plans.
Legislation to provide favorable tax treatment for guaranteed lifetime income.
Proposals at the Department of Labor for increasing access to guaranteed, protected lifetime solutions.
Proposals at the Department of Treasury/IRS for increasing access to guaranteed, protected lifetime income solutions.
SEC - Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies; Reopening of Comment Period - 17 CFR Parts 230, 232, 239, 270, 274, 275, and 279 [Release Nos. 33-11167; 34-97144; IA-6263; IC-34855; File No. S7-04-22] RIN 3235-AN08.
SEC - Cybersecurity Risk Management Rule for Broker-Dealers, Clearing Agencies, Major Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Associations, National Securities Exchanges, Security-Based Swap Data Repositories, Security-Based Swap Dealers, and Transfer Agents - 17 CFR Parts 232, 240, 242 and 249 [Release No. 34-97142; File No. S7-06-23] RIN 3235-AN15.
SEC - Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report - 17 CFR Parts 202, 232, 240, 249, and 249b [Release Nos. 33-11176; 34-97182; IC-34864; File No. S7-08-23] RIN 3235-AL85.
SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023.
SEC - Implementation and Enforcement of Regulation BI and Form CRS.
SEC - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
SEC - Implementation of Public Law No: 117-328, the Consolidated Appropriations Act, 2023, Division AA-Financial Services Matters, Title I-Registration for Index linked Annuities, Sec. 101. Parity for Registered Index-Linked Annuities Regarding Registration Rules.
SEC - Proposal to Create a RILA Registration Form.
SEC - Proposed Rule - Open-End Fund Liquidity Risk Management Programs and Swing Pricing; Form N-PORT Reporting, 17 CFR Parts 270 and 274 (RIN 3235-AM98).
SEC - Proposed Rule - Safeguarding Advisory Client Assets, 17 CFR Parts 275 and 279 (RIN 3235-AM32).
SEC - Proposed Rule Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices (17 CFR Part 200, 230, 232, 239, 249, 274, and 279, RIN: 3235-AM96).
SEC - Proposed Rule Enhancement and Standardization of Climate-Related Disclosures for Investors (17 CFR 210, 229, 232, 239, and 249, RIN 3235-AM87).
SEC - Proposed Rule Investment Company Names (17 CFR Parts 232, 270 and 274, RIN: 3235-AM72).
SEC - Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information - 17 CFR Parts 240, 248, 270, and 275 [Release Nos. 34-97141; IA-6262; IC-34854; File No. S7-05-23] RIN 3235-AN26.
SEC - Request for Comment on Certain Information Providers Acting as Investment Advisers (17 CFR Parts 270 and 275, RIN 3235- AM95).
SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - RIN 3235-AN00 (Release Nos. 34-92766; IA-5833; File No. S7-10-21).
SEC - Safeguarding Advisory Client Assets - 17 CFR Parts 275 and 279 Release No. IA-6240; File No. S7-04-23 RIN 3235-AM32.
SEC - Tailored Shareholder Reports for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements - 17 CFR Parts 200, 230, 232, 239, 249, 270, and 274/RIN 3235-AM52.
The Data Privacy Act (H.R.1165 - 118th Congress).
The Empowering States to Protect Seniors from Bad Actors Act (H.R. 5914 - 117th Congress).
The ESG Disclosure Simplification Act. (H.R. 1187 - 117th Congress).
The E-SIGN Modernization Act of 2022 (S.3715 - 117th Congress).
The Financial Exploitation Prevention Act (H.R.500-118th Congress).
The Financial Freedom Act of 2023(S.427/H.R.1177 - 118th Congress).
The Improving Corporate Governance Through Diversity Act. (H.R. 1277 - 117th Congress).
The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996 - 117th Congress).
The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625/H.R. 3962 - 117th Congress).
The Senior Security Act (S.955 - 118th Congress).
Treasury - IRS - Implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Securities & Exchange Commission (SEC), Treasury - Dept of, Internal Revenue Service (IRS), 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 |
Paul |
Richman |
|
|
|
John |
Jennings |
|
|
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 |
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) |