4th Quarter - Report

INVESTMENT COMPANY INSTITUTE for INVESTMENT COMPANY INSTITUTE

Period 4th Quarter 2010 Filed Jan 20, 2011 Signed by Dean R. Sackett III, Chief Government Affairs Officer & Co-Head, Government Affairs

Official filing
Firm
INVESTMENT COMPANY INSTITUTE
Client
INVESTMENT COMPANY INSTITUTE
Income
—
Expenses
$997,907
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. 139 Data Breach Notification Act S. 1074 Shareholder Bill of Rights Act of 2009 (proxy access) S. 1389 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 S. 1964 Mutual Fund Transparency Act of 2009 S. 3258 Modernizing and Strengthening Investor Protection Act of 2010 S. 3742 Data Security and Breach Notification Act of 2010 H.R. 1160 Money Market Fund Parity Act of 2009 H.R. 2221 Data Accountability and Trust Act (notice of breach) H.R. 2733 Fixed Indexed Annuities and Insurance Products Classification Act of 2009 H.R. 2861 Shareholder Empowerment Act of 2009 (proxy access) H.R. 3351 Proxy Voting Transparency Act of 2009 H.R. 4790 Shareholder Protection Act of 2010 (political activity) H.R. 6334 American Community Investment Reform Act of 2010 (CRA) Money Market Mutual Fund Regulation

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

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

Bills named: H.R. 4790 (111th), S. 1389 (111th), H.R. 2221 (111th), H.R. 3351 (111th), S. 3258 (111th), S. 139 (111th), S. 1964 (111th), H.R. 2733 (111th), H.R. 6334 (111th), H.R. 1160 (111th), S. 1074 (111th), S. 3742 (111th), H.R. 2861 (111th)

Retirement RET

S. 401 Defined Contribution Fee Disclosure Act of 2009 S. 2832 Lifetime Income Disclosure Act S. 3760 Automatic IRA Act of 2010 Target Date Funds (Kohl) H.R. 2779 Defined Contribution Plan Fee Transparency Act of 2009 (Neal) H.R. 4742 SAVE Act (Automatic IRA) H.R. 2989 401(k) Fair Disclosure and Pension Security Act of 2009 (Miller) H.R. 4146 Sensible Transparency for Retirement Plans Act of 2009 (Kline) H.R. 6099 Automatic IRA Act of 2010

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

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

Bills named: S. 3760 (111th), H.R. 6099 (111th), S. 401 (111th), H.R. 4742 (111th), H.R. 4146 (111th), S. 2832 (111th), H.R. 2779 (111th), H.R. 2989 (111th)

Taxation/Internal Revenue Code TAX

S. 1082 GROWTH Act S. 1297 Retirement Security for Life Act of 2009 (annuities) S. 3793 Job Creation and Tax Cuts Act of 2010 (flow-through) S. 3948 Regulated Investment Company Modernization Act of 2010 H.R. 2748 Retirement Security Needs Lifetime Pay Act of 2009 (annuities) H.R. 3429 GROWTH Act H.R. 4126 Retirement Fairness Act of 2009 (retirement plan nondiscrimination) H.R. 4337 Regulated Investment Company Modernization Act of 2010 H.R. 4853 Tax Relief, Unemployment Insurance Reauthorization, and Job Creation Act of 2010 (capital gains/dividends, flow-through)

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

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

Bills named: S. 1297 (111th), S. 3948 (111th), H.R. 4853 (111th), H.R. 2748 (111th), H.R. 4126 (111th), H.R. 3429 (111th), H.R. 4337 (111th), S. 3793 (111th), S. 1082 (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.