1st Quarter - Report

INVESTMENT COMPANY INSTITUTE for INVESTMENT COMPANY INSTITUTE

Firm
Client
Income
—
Expenses
$990,000
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.

Retirement RET

Qualified Default Investment Alternatives

LobbyistCovered position, as disclosed
PETER J GUNAS —

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

Labor Issues/Antitrust/Workplace LBR

S. 225- Competition and Antitrust Law Enforcement Reform Act of 2021 (Klobuchar) FTC Hart-Scott-Rodino Proposed Rule

LobbyistCovered position, as disclosed
KELLY HITCHCOCK —
KATHLEEN L MELLODY —
CYNTHIA PULLOM —
DEAN R SACKETT —

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

Bills named: S. 225 (117th)

Financial Institutions/Investments/Securities FIN

H.R. 699- Mutual Fund Litigation Reform Act (Emmer) H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks) H.R. 1996- Secure and Fair Enforcement Banking Act of 2021 (Perlmutter) H.R. 2123- Diversity Data Accountability Act (Beatty) H.R. 2265- Financial Exploitation Prevention Act (Wagner) S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez) S. 910- Secure and Fair Enforcement Banking Act of 2021 (Merkley) CFTC Rule 4.5 China Divestment Climate Risk Disclosure Act of 2021 (Casten) Consolidated Audit Trail Diverse Investment Advisers Act Enhanced ESG Disclosure by Corporate Issuers Exchange-Traded Funds Financial Stability Oversight Council Improvement Act (Rounds/Foster) Improving Disclosure Accessibility Act of 2021 Increasing Investor Opportunities Act (Gonzalez) LIBOR Transition Money Market Mutual Funds SEC Cybersecurity and Data Protection

LobbyistCovered position, as disclosed
KELLY HITCHCOCK —
KATHLEEN L MELLODY —
CYNTHIA PULLOM —
DEAN R SACKETT —

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

Bills named: H.R. 1277 (117th), S. 910 (117th), H.R. 2265 (117th), S. 374 (117th), H.R. 1996 (117th), H.R. 699 (117th), H.R. 2123 (117th)

Taxation/Internal Revenue Code TAX

H.R. 328- Wall Street Tax Act of 2021 (DeFazio) H.R. 1584- Protecting Retirement Savers and Everyday Investors Act (McHenry) H.R. 2288- Investing in Our Communities Act (Ruppersberger) S. 479- Lifting Our Communities through Advance Liquidity for Infrastructure Act (Wicker) S. 817- Wall Street Tax Act of 2021 (Schatz) Automatic Retirement Plan Act (Neal) Capital Gains and Dividend Taxation Portable Retirement and Investment Account Act (Warner/Himes) Retirement Security and Savings Act (Portman) Saver's Credit Securing a Strong Retirement Act (Neal) Tax Deferral of Retirement Contributions Tax Parity for US Mutual Funds Act (Davis)

LobbyistCovered position, as disclosed
ELENA CHISM —
ANDREW GOLDENBAUM —
PETER J GUNAS —
ALLEN HUFFMAN —
KATHLEEN L MELLODY —
CYNTHIA PULLOM —
DEAN R SACKETT —

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

Bills named: H.R. 1584 (117th), S. 479 (117th), H.R. 2288 (117th), H.R. 328 (117th), S. 817 (117th)

Budget/Appropriations BUD

H.R. 1319- American Rescue Plan Act of 2021 (COLA freeze)

LobbyistCovered position, as disclosed
ELENA CHISM —
ANDREW GOLDENBAUM —
PETER J GUNAS —
ALLEN HUFFMAN —
KATHLEEN L MELLODY —
DEAN R SACKETT —

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

Bills named: H.R. 1319 (117th)

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.