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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)
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5. Senate ID# 285494-12
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6. House ID# 369900000
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| TYPE OF REPORT | 8. Year | 2018 |
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: Wayne Chopus, President & CEO |
Date | 1/22/2019 4:37:51 PM |
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
SEC Proposed Regulation Best Interest (17 CFR Part 240).
SEC Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation (17 CFR Part 275).
SEC Proposed Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles (17 CFR Parts 240, 249, 275 and 279).
DOL EBSA Proposed Definition of Employer under Section 3(5) of ERISA - Association Retirement Plans and Other Multiple-Employer Plans Rule (29 CFR Part 2510).
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform. Public Law 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act of 2013, implementation and regulatory reform.
A bill to amend the Employee Retirement Income Security Act of 1974 to require disclosure of lifetime income equivalents (H.R. 2055, S.868).
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions.
Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions.
Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
Financial CHOICE Act of 2017 (H.R. 10).
Affordable Retirement Advice for Savers Act (H.R. 2823).
Affordable Retirement Advice Protection Act (S.1321).
The Protecting Advice for Small Savers (PASS) Act of 2017 (H.R. 3857).
The Make America Secure and Prosperous Appropriations Act (H.R. 3354).
The FY 2019 Labor, Health and Human Services, and Education (LHHS) funding bill (H.R. 6157).
Implementation of Public Law No: 115-97, the Tax Cuts and Jobs Act.
The Business of Insurance Regulatory Reform Act (H.R. 3746).
The Financial Stability Oversight Council Insurance Member Continuity Act (H.R. 3110, S.1463).
The Primary Regulators of Insurance Vote Act of 2018 (H.R. 5666).
Portable Retirement and Investment Act (H.R. 6990).
Small Business Employees Retirement Enhancement Act (S. 3219).
Family Savings Act (H.R. 6757).
The Strengthening Financial Security through Short-Term Savings Act (S. 3218).
Retirement Security and Savings Act of 2018 (S.3781).
Retirement, Savings, and Other Tax Relief Act of 2018 and the Taxpayer First Act of 2018 (H.R. 88).
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, 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 |
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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
DOL - EBSA Proposed Definition of Employer under Section 3(5) of ERISA - Association Retirement Plans and Other Multiple-Employer Plans Rule (29 CFR Part 2510).
SEC Proposal - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (17 CFR Parts 230, 232, 239, 240, 270, and 274).
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform.
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions.
Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions.
Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
The Senior Safe Act of 2017 (H.R. 3758, S.223), clarify existing laws to allow and encourage financial service representatives at banks and credit unions, investment advisors, and broker-dealers to report suspected financial fraud targeting seniors to regulators, law enforcement, or adult protective service agencies.
The Receiving Electronic Statements to Improve Retiree Earnings Act (H.R. 4610), amends ERISA of 1974 and IRC of 1986 to provide for electronic delivery of pension plan information.
The Retirement Savings Lost and Found Act of 2016 (S.3078 - 114th Congress), to increase the portability of and access to retirement savings.
Financial CHOICE Act of 2017 (H.R. 10).
Sen. Wyden Discussion Draft on Retirement Savings and IRAs (114th Congress).
Affordable Retirement Advice for Savers Act (H.R. 2823).
Affordable Retirement Advice Protection Act (S.1321).
Savings Enhancement by Alleviating Leakage in 401(k) Savings Act (H.R. 2030).
The Protecting Advice for Small Savers (PASS) Act of 2017 (H.R. 3857).
The Make America Secure and Prosperous Appropriations Act (H.R. 3354).
The FY 2019 Labor, Health and Human Services, and Education (LHHS) funding bill (H.R. 6157).
The Lifetime Income Disclosure Act (H.R. 2055, S.868).
The PROSPERS Act (H.R. 2523, S.1035).
Implementation of Public Law No: 115-97, the Tax Cuts and Jobs Act.
The Economic Growth, Regulatory Relief and Consumer Protection Act (S.2155).
The Automatic Retirement Plan Act of 2017 (H.R. 4523).
The Retirement Plan Simplification Act of 2017 (H.R.4524).
The Increasing Access to Secure Retirement Act (H.R.4604).
The Small Businesses Add Value for Employees (SAVE) Act of 2017 (H.R. 4637).
Retirement Enhancement and Savings Act of 2018 (H.R. 5282, S.2526).
Consolidated Appropriations Act, 2018 (H.R. 1625).
Senior Safe Act 2017 included as Title III (H.R. 2255).
Retirement Security Act of 2017 (H.R. 854, S.1383).
SAVE Act of 2017 (H.R. 4637).
The Commission on Retirement Security Act of 2018 (S.2753).
Elder Protection and Abuse Prevention Act (H.R. 6744).
Retirement Security Flexibility Act of 2018 (S.3221).
Small Business Employees Retirement Enhancement Act (S.3219).
Family Savings Act (H.R. 6757).
The Strengthening Financial Security through Short-Term Savings Act (S.3218).
Senior Security Act of 2018 (H.R.6323).
JOBS and Investor Confidence Act of 2018 (S.488).
Retirement Security and Savings Act of 2018 (S.3781).
Retirement, Savings, and Other Tax Relief Act of 2018 and the Taxpayer First Act of 2018 (H.R. 88).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Labor - Dept of (DOL), Treasury - Dept of, 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 |
Paul |
Richman |
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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
Legislation and rulemaking affecting annuities, variable life products and retirement savings, including Trump Administration and Congressional proposals on tax reform.
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions that proposed changes to the Internal Revenue Code, including, but not limited to, the Department of the Treasury's Longevity Annuity Contracts Notice of Proposed Rulemaking (REG-115809-11).
Savings Enhancement by Alleviating Leakage in 401(k) Savings Act (H.R. 2030).
Implementation of Public Law No: 115-97, the Tax Cuts and Jobs Act.
The Automatic Retirement Plan Act of 2017 (H.R. 4523).
The Retirement Plan Simplification Act of 2017 (H.R. 4524).
The Small Businesses Add Value for Employees (SAVE) Act of 2017 (H.R. 4637).
The Affordable Retirement Advice for Savers Act (H.R. 2823).
The Graduate Students Savings Act (H.R. 3136, S.1379).
The Receiving Electronic Statements To Improve Retiree Earnings Act (H.R. 4610).
The Protecting Advice for Small Savers Act of 2017 (H.R. 3857).
Retirement Enhancement and Savings Act of 2018 (H.R. 5282, S.2526).
Retirement Security Act of 2017 (H.R. 854, S.1383).
Small Employer Retirement Savings Auto-Enrollment Credit Act (H.R. 3902).
SAVE Act of 2017 (H.R. 4637).
H.R.3910 - To amend the Internal Revenue Code of 1986 to make lifetime income and managed account options of defined contribution retirement savings plans portable.
Family Savings Act (H.R. 6757).
Portable Retirement and Investment Act (H.R. 6990).
Retirement Security Flexibility Act of 2018 (S.3221).
Small Business Employees Retirement Enhancement Act (S.3219).
The Strengthening Financial Security through Short-Term Savings Act (S.3218).
The Refund to Rainy Day Savings Act (S.3220).
Retirement Security and Savings Act of 2018 (S.3781).
Retirement, Savings, and Other Tax Relief Act of 2018 and the Taxpayer First Act of 2018 (H.R. 88).
17. House(s) of Congress and Federal agencies Check if None
U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, 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 |
Paul |
Richman |
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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
SEC Proposed Regulation Best Interest (17 CFR Part 240).
SEC Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation (17 CFR Part 275).
SEC Proposed Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles (17 CFR Parts 240, 249, 275 and 279).
SEC Proposal Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts (17 CFR Parts 230, 232, 239, 240, 270, and 274).
Legislation and rulemaking affecting annuities, variable life products and retirement savings including Trump Administration and Congressional proposals on tax reform.
Public Law 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act, implementation and regulatory reform.
Implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption.
Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions.
Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions.
Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act.
Financial CHOICE Act of 2017 (H.R. 10).
The Protecting Advice for Small Savers (PASS) Act of 2017 (H.R. 3857).
The Make America Secure and Prosperous Appropriations Act (H.R. 3354).
The FY 2019 Labor, Health and Human Services, and Education (LHHS) funding bill (H.R. 6157).
Senior Safe Act of 2017 (H.R. 3758, S.223).
The Economic Growth, Regulatory Relief and Consumer Protection Act (S.2155).
Implementation of Public Law No: 115-97, the Tax Cuts and Jobs Act.
The Business of Insurance Regulatory Reform Act (H.R. 3746).
The Financial Stability Oversight Council Insurance Member Continuity Act (H.R. 3110, S. 1463).
The Make America Secure and Prosperous Appropriations Act (H.R. 3354).
FY 2018 Budget Resolution (H.R. Con Res 71).
Retirement Enhancement and Savings Act of 2018 (H.R. 5282, S.2526).
Consolidated Appropriations Act, 2018 (H.R. 1625).
Senior Safe Act 2017 included as Title III (H.R. 2255).
The Primary Regulators of Insurance Vote Act of 2018 (H.R. 5666).
Elder Protection and Abuse Prevention Act (H.R. 6744).
Senior Security Act of 2018 (H.R. 6323).
The Strengthening Financial Security through Short-Term Savings Act (S.3218).
The Refund to Rainy Day Savings Act (S.3220).
JOBS and Investor Confidence Act of 2018 (S.488).
CONSENT Act (S.2639).
Consumer Data Privacy Act - (Sen. Wyden (D-OR) - Discussion Draft).
Consumer Information Notification Requirement Act (H.R. 6743).
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, 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 |
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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:
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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 |