4th Quarter - Report

INVESTMENT COMPANY INSTITUTE for INVESTMENT COMPANY INSTITUTE

Period 4th Quarter 2016 Filed Jan 18, 2017 Signed by Dean R. Sackett III

Official filing
Firm
INVESTMENT COMPANY INSTITUTE
Client
INVESTMENT COMPANY INSTITUTE
Income
—
Expenses
$956,400
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.

Taxation/Internal Revenue Code TAX

Modernization of Derivatives Tax Act of 2016 (Wyden) Preserving Retirement Savings Tax Incentives International Regulated Investment Company Tax-Exemption for Municipal Bond Interest Financial Transaction Tax ABLE Programs

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

Contacted: White House Office; Treasury, Dept of; SENATE; Labor, Dept of (DOL); Securities & Exchange Commission (SEC); HOUSE OF REPRESENTATIVES

Budget/Appropriations BUD

H.R. 2028 - Further Continuing Appropriations Act, 2017

LobbyistCovered position, as disclosed
DEAN R SACKETT —

Contacted: SENATE; Securities & Exchange Commission (SEC); HOUSE OF REPRESENTATIVES; White House Office; Labor, Dept of (DOL); Treasury, Dept of

Bills named: H.R. 2028 (114th)

Financial Institutions/Investments/Securities FIN

H.R. 1550 - Financial Stability Oversight Council Improvement Act of 2015 (Ross) H.R. 4538 - Senior Safe Act of 2016 (Sinema) H.R. 4854 - Supporting America's Innovators Act of 2016 (McHenry) H.R. 5311 - Corporate Governance Reform and Transparency Act of 2016 (Duffy) H.R. 5322 - U.S. Territories Investor Protection Act of 2016 (Velazquez) H.R. 5983 - Financial CHOICE Act of 2016 (Hensarling) S. 1484 - Financial Regulatory Improvement Act of 2015 (Shelby) S. 3467 - US Territories Investor Protect Act of 2016 (Menendez) FSOC Review of Asset Management Sector for Potential SIFI Designations Financial Stability Board SEC Proposal on Electronic Delivery of Mutual Fund Shareholder Reports SEC Proposal on use of Derivatives by Registered Funds SEC Rule on Liquidity Risk Management CFTC Rule 4.5 Exchange-Traded Funds National Market System Plans

LobbyistCovered position, as disclosed
DONALD C AUERBACH —
MICHELLE MESACK —
DEAN R SACKETT —

Contacted: Treasury, Dept of; Labor, Dept of (DOL); White House Office; Securities & Exchange Commission (SEC); SENATE; HOUSE OF REPRESENTATIVES

Bills named: H.R. 1550 (114th), H.R. 5983 (114th), H.R. 5322 (114th), S. 3467 (114th), H.R. 4538 (114th), H.R. 4854 (114th), H.R. 5311 (114th), S. 1484 (114th)

Retirement RET

S. 3417 - Receiving Electronic Statements to Improve Retiree Earnings Act (Brown) S. 3471 - Retirement Enhancement and Savings Act of 2016 (Hatch) Retirement Improvements and Savings Enhancements Act of 2016 (Wyden) H.R. 2656 - Receiving Electronic Statements to Improve Retiree Earnings Act (Polis) DOL Fiduciary Rule DOL Rule on State-Run Retirement Plans

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

Contacted: SENATE; HOUSE OF REPRESENTATIVES; Securities & Exchange Commission (SEC); Labor, Dept of (DOL); Treasury, Dept of; White House Office

Bills named: S. 3417 (114th), S. 3471 (114th), H.R. 2656 (114th)

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.