4th Quarter - Report

INVESTMENT COMPANY INSTITUTE for INVESTMENT COMPANY INSTITUTE

Firm
Client
Income
—
Expenses
$1,019,624
Expense method
C: businesses, Internal Revenue Code section 162(e)

What was lobbied

4 issue areas, each in the filer's own words, with who lobbied on it and where.

Budget/Appropriations BUD

H.R. 2055 Consolidated Appropriations Act, FY2012

LobbyistCovered position, as disclosed
DEAN R SACKETT —

Contacted: SENATE; HOUSE OF REPRESENTATIVES

Bills named: H.R. 2055 (112th)

Financial Institutions/Investments/Securities FIN

S. 1615 Financial Regulatory Responsibility Act S. 1650 Dodd-Frank Improvement Act of 2011 S. 1834 Residential Mortgage Market Privatization and Standardization Act of 2011 S. 1835 United States Covered Bond Act Commodities Exchange-Traded Funds H.R. 31 Fannie Mae and Freddie Mac Accountability and Transparency for Taxpayers Act H.R. 463 Fannie Mae and Freddie Mac Transparency Act of 2011 H.R. 940 United States Covered Bond Act of 2011 H.R. 1182 GSE Bailout Elimination and Taxpayer Protection Act H.R. 1221 Equity in Government Compensation Act H.R. 1222 GSE Subsidy Elimination Act H.R. 1223 GSE Credit Risk Equitable Treatment Act H.R. 1224 GSE Portfolio Risk Reduction Act H.R. 1225 GSE Debt Issuance Approval Act H.R. 1226 GSE Mission Improvement Act H.R. 1227 GSE Risk and Activities Limitation Act H.R. 1539 Asset-Backed Market Stabilization Act of 2011 H.R. 1573 Delay Implementation of Title VII of Dodd-Frank Act H.R. 1838 Repeal DFA provision prohibiting assistance to swap dealers or participants H.R. 1859 Housing Finance Reform Act of 2011 H.R. 2308 SEC Regulatory Accountability Act H.R. 2428 GSE Legal Fee Reduction Act of 2011 H.R. 2436 Fannie Mae and Freddie Mac Taxpayer Payback Act of 2011 H.R. 2439 Removing GSEs Charters During Receivership Act of 2011 H.R. 2440 Market Transparency and Taxpayer Protection Act H.R. 2441 Housing Trust Fund Elimination Act H.R. 2462 Cap the GSE Bailout Act of 2011 H.R. 2483 Whistleblower Improvement Act of 2011 H.R. 2586 Swap Execution Facility Clarification Act H.R. 2682 Business Risk Mitigation and Price Stabilization Act of 2011 H.R. 2779 To exempt inter-affiliate swaps from Dodd-Frank Act H.R. 3045 Retirement Income Protection Act Private Mortgage Market Investment Act SEC Modernization Act Investment Adviser Oversight Act of 2011 CFTC Rule 4.5 Money Market Mutual Funds Volcker Rule Municipal Securities Transparency Act of 2011

LobbyistCovered position, as disclosed
DONALD C AUERBACH —
DEAN R SACKETT —
NETONIS WYBENSINGER —

Contacted: SENATE; HOUSE OF REPRESENTATIVES

Bills named: H.R. 1224 (112th), H.R. 3045 (112th), S. 1835 (112th), S. 1650 (112th), H.R. 1225 (112th), H.R. 2779 (112th), H.R. 1838 (112th), S. 1834 (112th), H.R. 1222 (112th), H.R. 1223 (112th), H.R. 2483 (112th), H.R. 1182 (112th), H.R. 2308 (112th), H.R. 2428 (112th), H.R. 2440 (112th), H.R. 31 (112th), H.R. 2441 (112th), H.R. 940 (112th), H.R. 1227 (112th), H.R. 1226 (112th), H.R. 1573 (112th), H.R. 2436 (112th), H.R. 2586 (112th), H.R. 1221 (112th), H.R. 1859 (112th), H.R. 2462 (112th), S. 1615 (112th), H.R. 2682 (112th), H.R. 463 (112th), H.R. 2439 (112th), H.R. 1539 (112th)

Taxation/Internal Revenue Code TAX

S. 347 Public Employee Pension Transparency Act S. 557 Public Good IRA Rollover Act of 2011 S. 1016 Municipal Bond Market Support Act of 2011 S. 1346 Stop Tax Haven Abuse Act S. 1647 Tax Hike Prevention and Business Certainty Act (Crapo) S. 1787 Wall Street Trading and Speculators Tax Act (Harkin) H.R. 567 Public Employee Pension Transparency Act (Nunes) H.R. 2669 Stop Tax Haven Abuse Act (Doggett) H.R. 3091 Tax Hike Prevention and Business Certainty Act (Roskam) H.R. 3313 Wall Street Trading and Speculators Tax Act (DeFazio) Annual Deferral Limits for Retirement Plans Foreign Account Tax Compliance Act International Tax Reform Tax-Exemption for Municipal Bonds Tax Treatment of Financial Products/ETNs

LobbyistCovered position, as disclosed
DONALD C AUERBACH —
PETER J GUNAS —
ALLEN HUFFMAN —
KEITH LAWSON —
DEAN R SACKETT —
NETONIS WYBENSINGER —

Contacted: SENATE; HOUSE OF REPRESENTATIVES

Bills named: H.R. 567 (112th), S. 347 (112th), S. 1787 (112th), S. 1647 (112th), S. 1346 (112th), S. 1016 (112th), H.R. 2669 (112th), H.R. 3091 (112th), S. 557 (112th), H.R. 3313 (112th)

Retirement RET

S. 267 Lifetime Income Disclosure Act S. 1121 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act of 2011 S. 1557 Automatic IRA Act of 2011 E-Delivery H.R. 677 Lifetime Income Disclosure Act H.R. 3287 Savings Enhancement by Alleviating Leakage in 401(k) Savings Act of 2011 DOL Fiduciary Definition Target Date Funds 401(k) Fee Disclosure Automatic IRA Sense of Congress on Retirement Savings

LobbyistCovered position, as disclosed
DONALD C AUERBACH —
PETER J GUNAS —
ALLEN HUFFMAN —
DEAN R SACKETT —
NETONIS WYBENSINGER —

Contacted: HOUSE OF REPRESENTATIVES; SENATE

Bills named: H.R. 677 (112th), S. 1121 (112th), S. 1557 (112th), H.R. 3287 (112th), S. 267 (112th)

Shown as published by the Senate Office of Public Records and the House Clerk under the Lobbying Disclosure Act. The official filing is the record; open it for the full form.