1st Quarter - Report — INVESTMENT COMPANY INSTITUTE for INVESTMENT COMPANY INSTITUTE (2010)

Firm

INVESTMENT COMPANY INSTITUTE

Client

INVESTMENT COMPANY INSTITUTE

Income

—

Expenses

$1,117,910

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.

Taxation/Internal Revenue Code TAX

S. 1082 GROWTH Act S. 1297 Retirement Security for Life Act of 2009 (annuities) S. 1934 Foreign Account Tax Compliance Act of 2009 S. 2927 Wall Street Fair Share Act (securities transaction tax) H.R. 2748 Retirement Security Needs Lifetime Pay Act of 2009 (annuities) H.R. 3429 GROWTH Act H.R. 3933 Foreign Account Tax Compliance Act of 2009 H.R. 4126 Retirement Fairness Act of 2009 (retirement plan nondiscrimination) H.R. 4191 Let Wall Street Pay for the Restoration of Main Street Act (securities transaction tax) H.R. 4213 Tax Extenders Act of 2009 (flow-through) H.R. 4337 Regulated Investment Company Modernization Act of 2009

Lobbyist	Covered position, as disclosed
DONALD C AUERBACH	—
PETER J GUNAS	—
MICHAEL L HADLEY	—
JAMES R HART	—
KEITH LAWSON	—
DEAN R SACKETT	—

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

Bills named: H.R. 4126 (111th), H.R. 4213 (111th), H.R. 3429 (111th), S. 2927 (111th), H.R. 4337 (111th), S. 1082 (111th), S. 1297 (111th), H.R. 2748 (111th), H.R. 4191 (111th), H.R. 3933 (111th), S. 1934 (111th)

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. 1490 Personal Data Privacy and Security Act of 2009 S. 1964 Mutual Fund Transparency Act of 2009 S. 2799 Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2009 S. xxxx Restoring American Financial Stability Act of 2010 (regulatory reform) 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. 1669 Federal Municipal Bond Marketing Support and Securitization 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. 3269 Corporate and Financial Institution Compensation Fairness Act of 2009 (say on pay) H.R. 4173 Wall Street Reform and Consumer Protection Act of 2009 H.R. 4790 Shareholder Protection Act of 2010 (political activity) Money Market Mutual Fund Regulation Municipal Bonds (Frank)

Lobbyist	Covered position, as disclosed
DONALD C AUERBACH	—
DEAN R SACKETT	—
FRANCES STADLER	—

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

Bills named: S. 1490 (111th), H.R. 1160 (111th), H.R. 1181 (111th), H.R. 1327 (111th), S. 1964 (111th), H.R. 1669 (111th), S. 139 (111th), H.R. 4790 (111th), H.R. 2733 (111th), H.R. 2861 (111th), S. 2799 (111th), H.R. 3269 (111th), S. 1074 (111th), S. 1389 (111th), H.R. 4173 (111th), H.R. 2221 (111th)

Retirement RET

S. 401 Defined Contribution Fee Disclosure Act of 2009 S. 2832 Lifetime Income Disclosure Act Target Date Funds (Kohl) H.R. 2779 Defined Contribution Plan Fee Transparency Act of 2009 (Neal) H.R. 2847 HIRE Act (401(k) disclosure) 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)

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

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

Bills named: H.R. 2989 (111th), S. 401 (111th), H.R. 4146 (111th), H.R. 2779 (111th), H.R. 2847 (111th), S. 2832 (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.