3rd Quarter - Report

INVESTMENT ADVISER ASSOCIATION for INVESTMENT ADVISER ASSOCIATION

Firm
Client
Income
—
Expenses
$75,000
Expense method
C: businesses, Internal Revenue Code section 162(e)

What was lobbied

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

Financial Institutions/Investments/Securities FIN

Definition "accredited investor" SEC definition of small business entity under RegFlex Act Electronic delivery

LobbyistCovered position, as disclosed
NEIL A SIMON —

Contacted: SENATE; Securities & Exchange Commission (SEC); HOUSE OF REPRESENTATIVES

Taxation/Internal Revenue Code TAX

deductibility of investment advisory fees eligibility of advisory firms for pass-through benefit savings/retirement

LobbyistCovered position, as disclosed
NEIL A SIMON —

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

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.