| LOBBYING REPORT |
Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page
2. Address
| Address1 |
625 Fourth Avenue South
| Address2 |
|
| City |
Minneapolis
| State |
MN
| Zip Code |
55415
| Country |
USA
|
3. Principal place of business (if different than line 2)
| City |
| State |
| Zip Code |
| Country |
|
| 5. Senate ID# 283377-12
|
||||||||
| 6. House ID# 368210000
|
||||||||
| 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 | |||||||||
|---|---|---|---|---|---|---|---|---|---|
| 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 from 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: Richard J. Kleven, VP, Government Affairs
| Date |
07/19/2010
|
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 INS
16. Specific lobbying issues
HR 4173, "Dodd-Frank Wall Street Reform and Consumer Protection Act"; Title I, Financial Stability; Title II, Orderly Liquidation Authority; Title III, Transfer of Powers to the Comptroller of the Currently, the Corporation, and the FRB; Title IV Regulation of Advisors to Hedge Funds & Others; Title V, Insurance; Title VI, Improvements to Regulation of Bank and Savings Association Holding Companies and Depository Institutions; Title VII Wall Street Transparency & Accountability; Title VIII Payment,
Clearing & Settlement Supervision; Title IX Investor Protection & Improvements to the Regulation of Securities; Title X Bureau of Consumer Financial Protection; Title XI Federal Reserve System Provisions; Title XII Improving Access to Mainstream Financial Institutions; Title XIII Pay It Back Act; Title XIV Mortgage Reform & Anti-Predatory Lending Act; Title XV Miscellaneous Provisions; Title XVI Section 1256 Contracts.
S.F. 3127, "Restoring American Financial Stability Act of 2010"
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
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 |
|
Richard
|
Kleven
|
Mr.
|
| |
|
Sharon
|
Brosnan
|
Ms.
|
| |
|
Bradford
|
Hewitt
|
Mr.
|
|
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. 4173, "Dodd-Frank Wall Street Reform and Consumer Protection Act" ; specifically issues regarding harmonization of the standard of care owed to securities investors, between investment advisors and broker/dealers. S.F. 3127, "Restoring American Financial Stability Act of 2010." Specifically Title IX, Investor Protections and Improvements to the Regulation of Securities.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE,
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 |
|
Richard
|
Kleven
|
Mr.
|
| |
|
Brosnan
|
Sharon
|
Ms.
|
|
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 status as a fraternal benefit society under Internal Revenue Code Section 501(c)(8).
President Obama's "bank tax" or fiscal responsibility fee proposed as part of the President's budget released in January 2010 and imposed on certain financial institutions.
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE,
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 |
|
Richard
|
Kleven
|
Mr.
|
| |
|
Sharon
|
Brosnan
|
Ms.
|
| |
|
Bradford
|
Hewitt
|
Ms.
|
|
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
H.R. 4173, "Dodd-Frank Wall Street Reform and Consumer Protection Act". Work on Title II, Title VI, and Title XII - issues involving the preservation of the thrift charter and actions of thrifts, definition of insurance company, and resolution authority including assessments on financial companies.
S.F. 3127, "Restoring American Financial Stability Act of 2010 (Same titles as above.)
17. House(s) of Congress and Federal agencies Check if None
U.S. HOUSE OF REPRESENTATIVES, U.S. SENATE
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 |
|
Richard
|
Kleven
|
Mr.
|
| |
|
Sharon
|
Brosnan
|
Ms.
|
| |
|
Bradford
|
Hewitt
|
Mr.
|
|
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 |