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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 100 Bellevue Parkway |
Address2 | |
City | Wilmington |
State | DE |
Zip Code | 19809 |
Country | USA |
3. Principal place of business (if different than line 2)
City | New York |
State | NY |
Zip Code | 10055 |
Country | USA |
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5. Senate ID# 400534597-12
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6. House ID# 411500000
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TYPE OF REPORT | 8. Year | 2011 |
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: Joanne T. Medero, Managing Director |
Date | 04/20/2011 |
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 FIN
16. Specific lobbying issues
Financial regulatory reform/Dodd-Frank implementation; OTC derivatives, credit rating agencies, resolution authority
Issues related to money market mutual fund regulation, systemic risk, market structure, target date funds, exchange traded funds, fiduciary standards
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Commodity Futures Trading Commission (CFTC), Executive Office of the President (EOP), Federal Deposit Insurance Commission (FDIC), Federal Reserve System, Office of the Comptroller of the Currency (OCC), Pension & Welfare Benefits Administration, 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 |
Barbara |
Novick |
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Joanne |
Medero |
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General Counsel, CFTC |
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Kathryn |
Fulton |
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Director Legislative Affairs, SEC |
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 BAN
16. Specific lobbying issues
GSE reform: HR 31 Fannie Mae and FreddieMac Accountability Act of 2011; HR 1221l Equity in Government Compensation Act; HR 1222 GSE Subsidy Elimination Act of 2011; HR1223 GSE Credit Risk Equitable Treatment Act; HR 1224 Portfolio Risk Reduction Act; HR 1225 GSE Debt Issueance Approval Act; HR 1226; GSE Mission Improvement Act of 2011: HR 1227 The GSE Risk and Activities Limitation Act; HR 1182; S. 178
Issues related to programs created by S896/HR1106--Helping Families Save Their Home Act; Issues related to residential and commercial mortgage securitization. Issues related to Dodd-Frank implementation
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Executive Office of the President (EOP), 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 |
Barbara |
Novick |
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Joanne |
Medero |
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General Counsel, CFTC |
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Kathryn |
Fulton |
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Director Legislative Affairs, SEC |
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
Issues related to retirement security and savings proposals; HR 677 Lifetime Income Disclosure Act, S. 267 Lifetime Income Disclosure Act; stable value funds/book value wrappers; retirement income products, securities lending, target date funds, defined contribution disclosure; fiduciary responsibilities
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Executive Office of the President (EOP), Pension & Welfare Benefits Administration
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 |
Barbara |
Novick |
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Joanne |
Medero |
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General Counsel, CFTC |
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Kathryn |
Fulton |
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Director Legislative Affairs, SEC |
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
Issues related to implementation of the Foreign Account Tax Compliance Act ( FATCA)
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Internal Revenue Service (IRS), 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 |
Joanne |
Medero |
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General Counsel, CFTC |
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Kathryn |
Fulton |
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Director Legislative Affairs, SEC |
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 |