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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
Address1 | 1101 New York Ave, NW |
Address2 | Suite 800 |
City | Washington |
State | DC |
Zip Code | 20005 |
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 | 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. | ||||||||
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., Executive Vice President, Public Policy and Advocacy |
Date | 04/20/2010 |
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
H.R. 200 (Helping Families Save Their Homes in Bankruptcy Act);
H.R. 225 (Emergency Homeownership and Equity Protection Act);
H.R. 230 (Housing Opportunity and Mortgage Equity Act of 2009) (foreclosure avoidance and loan modifications);
H.R. 384 (TARP Reform and Accountability Act);
H.R. 703 (Legislation to promote bank liquidity and lending through deposit insurance, the HOPE for Homeowners Program, and other enhancements);
H.R. 786 (To make permanent the temporary increase in deposit insurance coverage, and for other purposes);
H.R. 787 (to make improvements in the Hope for Homeowners Program) (foreclosure avoidance and loan modifications);
H.R. 788 (To provide a safe harbor for mortgage servicers who engage in specified mortgage loan modifications, and for other purposes);
H.R. 1020 (Arbitration Fairness Act of 2009);
H.R. 1106 (Helping Families Save Their Homes Act) (foreclosure avoidance and loan modifications);
H.R. 1728 (To amend the Truth in Lending Act to reform consumer mortgage practices and provide accountability for such practices, to provide certain minimum standards for consumer mortgage loans, and for other purposes) (mortgage reform);
H.R. 1731 (Credit Risk Retention Act);
H.R. 1758 (Mortgage Reform and Anti-predatory Lending Act of 2009);
H.R. 3269 (Corporate and Financial Institution Compensation Fairness Act of 2009);
H.R. 3451 (To require mortgagees for mortgages in default to engage in reasonable loss mitigation activities);
H.R. 3606 (Consumer Financial Protection Agency Act);
H.R. 3817 (Investor Protection Act, Arbitration, Broker-Dealer Standard of Care, SRO Rulemaking);
H.R. 3996 (The Financial Stability Improvement Act of 2009);
S. 61 (Helping Families Save Their Homes in Bankruptcy Act);
S. 376 (Real Estate Mortgage Investment Conduit Improvement Act of 2009);
S. 896 (Helping Families Save Their Homes Act);
S. 931 (Arbitration Fairness Act of 2009);
S. 1073 (Rating Accountability and Transparency Enhancement Act of 2009);
S. 1540 (To provide for enhanced authority of the FDIC to act as receiver for certain affiliates of depository institutions);
S. 1731 (To require certain mortgages to make loan modifications and establish grant programs for state and local government mediation programs);
S. 2886 (Bank Integrity Retention Act);
Housing Affordability and Stability Plan;
Student loans (special allowance payment rates);
Credit Rating Agency Reform;
Restoring American Financial Stability Act of 2010: Title X (H.R. 4173 Consumer Financial Protection Bureau); Title IX (Pre-Dispute Arbitration), (Bank Holding Company Act Amendments).
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), Federal Deposit Insurance Commission (FDIC), Office of the Comptroller of the Currency (OCC), 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 |
Tim |
Ryan |
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Kenneth |
Bentsen |
Jr. |
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John |
Hallmark |
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Margaret |
Simmons |
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Joseph |
Vaughan |
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Carter |
McDowell |
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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
H.R. 977 (Derivatives Markets Transparency and Accountability Act of 2009);
S. 272 (Derivatives Trading Integrity Act of 2009) (derivatives regulation);
Regulation of OTC derivatives (standardization of derivatives - all aspects including exchange trading, clearing, and reporting requirements);
H.R. 2454 (American Clean Energy and Security Act of 2009)(sections 342 and 351 through 360 - derivatives regulation);
H.R. 3300 (Derivative Trading Accountability and Disclosure Act);
H.R 3763 (Over-the-Counter Derivatives Markets Act);
H.R. 3795 (Over-the-Counter Derivatives Markets Act of 2009);
H.R. 4173 (Over-the-Counter Derivatives Markets Act);
H.R. 4884 (United States Covered Bond Act of 2010);
S. 1412 (Commodity Speculation Reform Act of 2009);
S. 1691 (Comprehensive Derivatives Regulation Act of 2009);
S. 2120 (Sen. Collin's Derivatives Reform bill);
Restoring American Financial Stability Act of 2010 (Title VII (Over-the-Counter Derivatives Reform)).
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE, Securities & Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Commission (FDIC), Office of Thrift Supervision (OTS), 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 |
Tim |
Ryan |
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Kenneth |
Bentsen |
Jr. |
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John |
Hallmark |
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Margaret |
Simmons |
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Cory |
Strupp |
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Carter |
McDowell |
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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
H.R. 302 (To require the Securities and Exchange Commission to reinstate the uptick rule on short sales of securities);
H.R. 1260 (Patent Reform Act);
H.R. 1020 (Arbitration Fairness Act of 2009);
H.R. 1575 (End Government Reimbursement of Excessive Executive Disbursements (End GREED) Act);
H.R. 1664 (To amend the executive compensation provisions of the Emergency Economic Stabilization Act of 2008 to prohibit unreasonable and excessive compensation and compensation not based on performance standards) (restrictions on compensation);
H.R. 1669 (To require the Secretary of the Treasury to establish a market for municipal securities, to require cooperation between the Secretary and the Chairman of the Board of Governors of the Federal Reserve System in addressing the municipal securities market situation including through the establishment of municipal securities funding facilities, and for other purposes);
H.R. 1731 (Credit Risk Retention Act);
H.R. 1944 (Active Financing Rules);
H.R. 2221 (Data Accountability and Trust Act);
H.R. 2549 (The Municipal Bond Fairness Act);
H.R. 2550 (The Municipal Advisers Regulation Act);
H.R. 2551 (The Municipal Market Liquidity Enhancement Act of 2009);
H.R. 2589 (The Municipal Bond Insurance Enhancement Act of 2009);
H.R. 2847 (Hiring Incentives to Restore Employment Act);
H.R. 2896 (Equal Treatments Of Covered Bonds Act of 2009);
H.R. 3005 (National Institute of Finance Act of 2010);
H.R. 3126 (Consumer Financial Protection Agency Act of 2009);
H.R. 3145 (Credit Default Swap Prohibition Act of 2009);
H.R. 3269 (Corporate and Financial Institution compensation Fairness Act of 2009);
H.R. 3306 (to enhance Social Security account number privacy protections);
H.R. 3310 (To reform the financial regulatory system of the United States);
H.R. 3817 (Investor Protection Act of 2009);
H.R. 3818 (Private Fund Investment Advisers Registration Act of 2009);
H.R. 3890 (Accountability and Transparency in Rating Agencies Act);
H.R. 4173 (Wall Street Reform and Consumer Protection Act of 2009);
H.R. 4191 (Wall Street Fair Share Act);
H.R. 4872 (THe Reconciliation Act of 2010);
H.R. 4884 (U.S. Covered Bond Act of 2010);
S. 139 (Data Breach Notification Act);
S. 386 (Fraud Enforcement and Recovery Act);
S. 515 (Patent Reform Act);
S. 651 (Compensation Fairness Act of 2009);
S. 773 (Cyber Security Act of 2009);
S. 931 (Arbitration Fairness Act of 2009);
S. 961 (Authorizing the Regulation of Swaps Act);
S. 1490 (Personal Data Privacy and Security Act of 2009);
S. 1551 (Liability for Aiding and Abetting Securities Violations of 2009);
S. 1682 (to provide the CFTC with antimarket manipulation authority);
S. 2886 (Bank Integrity Act of 2009) (Glass-Steagall Repeal);
S. 2927 (Wall Street Fair Share Act);
Restoring American Financial Stability Act of 2010: Title I (Financial Stability); Title II (Resolution Authority); Title IX ( Asset-Backed Securitization); Title X (Broker-Dealer Standard of Care); Title IX (FED Lending and Fiscal Policy Functions);
Resolution Authority for Systemically Significant Financial Companies Act of 2009;
Systemic Risk Regulation;
Troubled Asset Backed Securities Loan Facility (H-1B);
State Regulation of Credit Default Swaps as Insurance;
PPIP Investor and Asset Manager Requirements;
China - strategic and economic dialog;
Market Structure Issues (dark pools, flash quotes, high frequency trading);
Transatlantic Economic Council (Trade Issues);
Preservation of independent contractor status for financial services sector;
Bilateral Investment Treaties, India;
Asian Pacific Economic Council Privacy Issues;
Transpacific Partnership;
European Union proposal regarding Credit Default Swaps and Credit Rating Agencies and their impact on US Markets;
EU Alternative Investment Fund Managers Proposal (AIFM);
G-20 (Issues related to the November 15, 2008 "Washington Action Plan");
Government Sponsored Enterprises Reform;
Regulatory Capital Requirements.
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), Securities & Exchange Commission (SEC), U.S. Trade Representative (USTR), Commerce - Dept of (DOC), Commodity Futures Trading Commission (CFTC)
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 |
Tim |
Ryan |
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Kenneth |
Bentsen |
Jr. |
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John |
Hallmark |
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Cory |
Strupp |
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Margaret |
Simmons |
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David |
Strongin |
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Elizabeth |
Varley |
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Joseph |
Vaughan |
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Nancy |
McCarthy |
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Carter |
McDowell |
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Michael |
Decker |
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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
H.R. 2452 (Net Operating Loss (NOL) Carryback Act);
Administration's FY2010 International Tax Proposals;
Administration's FY2010 and Senate Finance Committee discussion draft offshore tax compliance proposals;
S. 506 (Stop Tax Haven Abuse Act) (Administration's FY2010 dividend witholding proposals);
H.R. 1256 (Family Smoking Prevention and Tobacco Control Act) (Administration's FY2010 dividend witholding proposals);
H.R. 3408 (Taxpayer Responsibility, Accountability, and Consistency Act of 2009);
H.R. 3590 (Patient Protection and Affordable Care Act);
H.R. 3933 (Foreign Account Tax Compliance Act);
H.R. 4213 (Tax Extenders Act of 2009);
H.R. 4849 (Small Business and Infrastructure Jobs Tax Act);
S. 2882 (Taxpayer Reponsibility, Accountability and Consistency Act of 2009);
S. 2994 (Taxpayer Fairness Act);
Securitization reform;
Tax issues related to standardization of credit default swaps;
Extension of Active Financing Rules;
Tax issues related to implementation of charge for failure to deliver Treasury securities;
Administration's Financial Crisis Responsibility Fee;
Tax issues related to interest expense allocation;
Tax treatment of capital gains and dividends;
Extension of Build America Bonds;
Expansion of Build America Bond Rules to Tax Credit Bonds;
Taxation of independent contractors;
Taxation of cross-border equity swaps;
Corporate tax reporting rules;
Bonus tax proposals;
Tax reporting requirements for foreign financial institutions on certain foreign accounts;
Securities cost basis reporting regulations;
Tax rules relating to Beaver Bonds.
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 |
Tim |
Ryan |
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Kenneth |
Bentsen |
Jr. |
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Nancy |
McCarthy |
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John |
Hallmark |
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Elizabeth |
Varley |
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Margaret |
Simmons |
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Michael |
Decker |
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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
H.R. 1984 (401(k) Fair Disclosure Act);
H.R. 1988 (Conflicted Investment Advice Prohibition Act of 2009);
H.R. 2167 (Automatic IRA Act);
H.R. 2989 (401(k) Fair Disclosure and Pension Security Act of 2009);
H.R. 2779 (Defined Contribution Plan Fee Transparency Act of 2009);
H.R. 3308 (Secure America Through Verification and Enforcement Act of 2009) (SAVE Act of 2009);
H.R. 4126 (Retirement Fairness Act of 2009);
S. 906 (Senior Investment Protection Act).
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 |
Tim |
Ryan |
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Kenneth |
Bentsen |
Jr. |
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Elizabeth |
Varley |
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Carter |
McDowell |
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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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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: http://www.sifma.org/about/members/ ; http://www.sifma.org/about/divisions.shtml
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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:
Name | Address |
Principal place of business (city and state or country) |
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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 |