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LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 | 601 Thirteenth Street, NW, Suite 700 North |
Address2 |
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| 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# 55757-12
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6. House ID# 351660000
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| TYPE OF REPORT | 8. Year | 2016 |
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 |
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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: Sue K. DiLandro |
Date | 10/20/2016 10:12:29 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 FIN
16. Specific lobbying issues
Financial Regulatory Reform
Federal Reserve Supervision of Savings and Loan Holding Companies
Dodd-Frank Wall Street Reform and Consumer Protection Act in regards to:
Systemic Risk Designation
Capital Requirements for the Savings & Loan Holding Company and Federal Reserve
Oversight
Incentive Compensation
Asset Manager SIFI Designation as in the following bill:
HR1550 - Financial Stability Oversight Council Improvement Act of 2015
FDIC Treatment of Brokered Deposits
Corporate Governance
E-Delivery/SEC Rule 30e-3
HR4096 - Investor Clarity and Bank Parity Act
Securities disclosure
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Larry |
Chadwick |
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Christopher |
Spence |
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Sam |
Hodas |
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Jill |
Brown |
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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
Retirement Security as in the following bills:
S324 - Shrinking Emergency Account Losses Act of 2015 (SEAL Act)
HR506/S245 - Automatic IRA Act of 2015
HR557/S266 - Retirement Security Act of 2015
HR2317/S1317 - Lifetime Income Disclosure Act of 2015
HR2656 - Receiving Electronic Statements to Improve Retiree Earnings (RETIRE) Act
of 2015
S3025 - Graduate Student Savings Act of 2016
S3417 - Receiving Electronic Statements to Improve Retiree Earnings (RETIRE) Act
of 2016
Retirement Enhancement and Savings Act of 2016
Retirement Improvements and Savings Enhancements (RISE) Act
DOL & SEC Fiduciary Proposals (DOL Fiduciary Definition Regulation/SEC Project to
Harmonize Broker-Dealer Fiduciary Standards) as in the following bills:
HR1090 - Retail Investor Protection Act of 2015
HR4294 - Strengthening Access to Valuable Education and Retirement Support (SAVERS) Act
HR4293 - Affordable Retirement Advice Act
Providing Lifetime Income Illustrations on Retirement Benefit Statements
Tax Benefits of Defined Contribution Plans
Defined Contribution Retirement Plan Design and Modernization
Fiduciary Concerns Related to Advice and Education in Retirement Plans
Stretch IRA
Electronic Delivery of Plan Documents
Retirement Plan Consolidation
Tax Reform as it relates to retirement plans
Qualified Default Investment Alternatives (QDIA)
Safe Harbor for Plan Sponsors Including Annuity Providers on Plan Menus
Retirement Plan Fees
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Labor - Dept of (DOL), Natl Economic Council (NEC), 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 |
Larry |
Chadwick |
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Christopher |
Spence |
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Sam |
Hodas |
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Jill |
Brown |
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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
Tax Reform as it relates to retirement plans
Tax Benefits of Defined Contribution Plans
529 Plans
Preserving Retirement Tax Incentives
Treatment of elective deferrals in defined contribution plans
Improvements for qualified disability expenses as in the following bills:
The ABLE to Work Act, ABLE Financial Planning Act, The ABLE Age Adjustment Act, 529 and
ABLE Accounts Improvements Act
Stretch IRA
Providing Lifetime Income Illustrations on Retirement Benefit Statements
Fiduciary Concerns Related to Advice and Education in Retirement Plans
Tax treatment of donor advised funds as in the following bill:
HR4907 - The Grow Philanthropy Act
Tax treatment of non-profits and university endowments
Treasury regulations governing internal cash management - Section 385
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES
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 |
Larry |
Chadwick |
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Christopher |
Spence |
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Sam |
Hodas |
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Jill |
Brown |
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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 |