1st Quarter - Report

INVESTMENT COMPANY INSTITUTE for INVESTMENT COMPANY INSTITUTE

Firm
Client
Income
—
Expenses
$1,467,189
Expense method
C: businesses, Internal Revenue Code section 162(e)

What was lobbied

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

Financial Institutions/Investments/Securities FIN

S. 100 - Terminating the Expansion of Too-Big-To Fail Act of 2013 (Vitter) S. 450 - Financial Regulatory Responsibility Act of 2013 (Shelby) H.R. 797 - Municipal Advisor Oversight Improvement Act of 2013 (Stivers) H.R. 1003 - To improve consideration by the CFTC of the costs and benefits of regulations (Conaway)H.R. 1062 - SEC Regulatory Accountability Act (Garrett) H.R. 1256 - Swap Jurisdiction Certainty Act (Garrett) Money Market Mutual Funds FSOC Rulemaking Enhanced Cost-Benefit Analysis for SEC and CFTC Rulemaking Vlocker Rule CFTC Rule 4.5 CFTC Reauthorization Use of Commodities by Mutual Funds Exchange-Trade Funds Liquidity Incentive Programs (McHenry) Consumer Financial Protection Bureau Housing Finance Reform Market Structure Issues

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

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

Bills named: H.R. 797 (113th), S. 450 (113th), H.R. 1256 (113th), H.R. 1062 (113th), H.R. 1003 (113th), S. 100 (113th)

Constitution CON

H.R. 148 - DISCLOSE 2013 Act (Van Hollen)

LobbyistCovered position, as disclosed
NETONIS WYBENSINGER —

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

Bills named: H.R. 148 (113th)

Taxation/Internal Revenue Code TAX

S. 268 - CUT Loopholes Act (Levin) S. 410 - Wall Street Trading and Speculators Tax Act (Harkin) S. 606 - Shrinking Emergency Account Losses Act (Nelson) H.R. 880 - Wall Street Trading and Speculators Tax Act (DeFazio)H. Res. 112 - House Resolution on Municipal Bonds (Terry) Section 871(k) Flow-through of Certain Dividends Annual Contribution Limits for Retirement Plans Foreign Account Tax Compliance Act International Regulated Investment Companies Tax-Exemption for Municipal Bonds Tax Treatment of Financial Products (Camp) 28% Limit on Tax Deductions and Exemptions RIC Modernization Act Technical Corrections

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

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

Bills named: S. 268 (113th), S. 606 (113th), H.Res. 112 (113th), S. 410 (113th), H.R. 880 (113th)

Retirement RET

Senate Resolution on Retirement Savings (Isakson-Murphy) Electronic Delivery of Retirement Plan Information (Neal) DOL Fiduciary Definition 401(k) Disclosure

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

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

Budget/Appropriations BUD

S. Con. Res. 8 - FY 2014 Budget Resolution (Burr Amendment)

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

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

Bills named: S.Con.Res. 8 (113th)

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.