2nd Quarter - Report

INVESTMENT COMPANY INSTITUTE for INVESTMENT COMPANY INSTITUTE

Firm
Client
Income
—
Expenses
$1,234,965
Expense method
C: businesses, Internal Revenue Code section 162(e)

What was lobbied

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

Financial Institutions/Investments/Securities FIN

S. 386 Fraud Enforcement and Recovery Act (creates Financial Crisis Inquiry Commission) H.R. 1106 Helping Families Save Their Homes Act of 2009 (cramdown) S. 896 Helping Families Save Their Homes Act of 2009 (PPIP) S. 566 Financial Product Safety Commission Act of 2009 H.R. 1705 Financial Product Safety Commission Act of 2009 H.R. 384 TARP Reform and Accountability Act of 2009 H.R. 786 Make Permanent the Increase in Deposit Insurance Coverage H.R. 977 Derivatives Markets Transparency and Accountability Act of 2009 S. 272 Derivatives Trading Integrity Act of 2009 H.R. 1068 Let Wall Street Pay for Wall Street's Bailout Act of 2009 (tax on securities transactions) H.R. 1160 Money Market Fund Parity Act of 2009 H.R. 1181 NRSRO Ratings for Asset Backed Securities H.R. 1327 Iran Sanctions Enabling Act of 2009 (divestiture) H.R. 1349 Establish the Federal Accounting Oversight Board H.R. 1479 Community Reinvestment Modernization Act of 2009 H.R. 1664 Pay for Performance Act of 2009 (Executive Compensation for TARP Recipients) H.R. 1669 Federal Municipal Bond Marketing Support and Securitization Act of 2009 H.R. 2733 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 S. 1389 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 S. 927 Credit Rating Agency Responsibility Act of 2009 S. 1073 Rating Accountability and Transparency Enhancement Act of 2009 (credit rating agencies) S. 1074 Shareholder Bill of Rights Act of 2009 (proxy access) H.R. 2861 Shareholder Empowerment Act of 2009 (proxy access) H.R. 2932 Stop VULTURE Funds Act S. 1276 Private Fund Transparency Act of 2009 (investment adviser registration) Financial Regulatory Restructuring Money Market Mutual Fund Regulation Municipal Bonds (Frank)

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

Contacted: HOUSE OF REPRESENTATIVES; SENATE; Treasury, Dept of

Bills named: H.R. 2932 (111th), S. 272 (111th), H.R. 1705 (111th), S. 1389 (111th), S. 927 (111th), H.R. 1664 (111th), H.R. 1068 (111th), H.R. 1327 (111th), H.R. 1349 (111th), H.R. 977 (111th), H.R. 786 (111th), S. 386 (111th), H.R. 1160 (111th), H.R. 384 (111th), S. 1276 (111th), S. 1074 (111th), S. 1073 (111th), S. 566 (111th), H.R. 2861 (111th), H.R. 1106 (111th), H.R. 1181 (111th), H.R. 1479 (111th), S. 896 (111th), H.R. 2733 (111th), H.R. 1669 (111th)

Taxation/Internal Revenue Code TAX

S. 157 Retirement Account Distribution Improvement Act of 2009 (RMD) H.R. 939 IRA Equity for Seniors Act (RMD) S. 722 Taxpayer Certainty and Relief Act of 2009 (capital gains and dividends) S. 506 Stop Tax Haven Abuse Act H.R. 1265 Stop Tax Haven Abuse Act S. 1082 GROWTH Act H.R. 2022 Kids IRA Act of 2009 S. 1297 Retirement Security for Life Act of 2009 (annuities) H.R. 2748 Retirement Security Needs Lifetime Pay Act of 2009 (annuities) Automatic Payroll Deduction IRA RIC Modernization

LobbyistCovered position, as disclosed
DONALD C AUERBACH —
PETER J GUNAS —
JAMES R HART —
KEITH LAWSON —
DEAN R SACKETT —

Contacted: SENATE; HOUSE OF REPRESENTATIVES; Treasury, Dept of

Bills named: H.R. 939 (111th), H.R. 2748 (111th), S. 1297 (111th), S. 157 (111th), H.R. 2022 (111th), S. 1082 (111th), S. 506 (111th), S. 722 (111th), H.R. 1265 (111th)

Retirement RET

S. 401 Defined Contribution Fee Disclosure Act of 2009 H.R. 1256 Family Smoking Prevention and Tobacco Control Act (mutual fund window in TSP) H.R. 1984 401(k) Fair Disclosure for Retirement Security Act of 2009 H.R. 1988 Conflicted Investment Advice Prohibition Act of 2009 H.R. 2021 Savings Recovery Act of 2009 H.R. 2779 Defined Contribution Plan Fee Transparency Act of 2009 H.R. 2989 401(k) Fair Disclosure and Pension Security Act of 2009 Target Date Funds (Kohl)

LobbyistCovered position, as disclosed
DONALD C AUERBACH —
PETER J GUNAS —
MICHAEL L HADLEY —
JAMES R HART —
DEAN R SACKETT —

Contacted: HOUSE OF REPRESENTATIVES; Treasury, Dept of; SENATE

Bills named: H.R. 2779 (111th), H.R. 2989 (111th), H.R. 2021 (111th), H.R. 1984 (111th), H.R. 1256 (111th), H.R. 1988 (111th), S. 401 (111th)

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.