3rd Quarter - Report

INVESTMENT COMPANY INSTITUTE for INVESTMENT COMPANY INSTITUTE

Period 3rd Quarter 2014 Filed Oct 19, 2014 Signed by Dean R. Sackett III, Chief Government Affairs Officer & Co-Head

Official filing
Firm
INVESTMENT COMPANY INSTITUTE
Client
INVESTMENT COMPANY INSTITUTE
Income
—
Expenses
$1,502,069
Expense method
C: businesses, Internal Revenue Code section 162(e)

What was lobbied

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

Financial Institutions/Investments/Securities FIN

S. 1927 - Data Security Act of 2014 (Carper) H.R. 3448 - Small Cap Liquidity Reform Act of 2013 (Duffy) H.R. 4387 - FSOC Transparency and Accountability Act (Garrett) H.R. 4881 - One Year Moratorium on Authority of FSOC to make SIFI Determinations (Neugebauer)H.R. 5037 - Office of Financial Research Accountability Act of 2014 (Royce) H.R. 5180 - Financial Stability Oversight Council Improvement Act of 2014 (Ross) Money Market Mutual Funds FSOC Review of Asset Management Sector for Potential SIFI Designations CFTC Rule 4.5 Volcker Rule Exchange-Traded Funds Structure of the U.S. Securities Markets Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers Investment Company Act of 1940

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

Contacted: HOUSE OF REPRESENTATIVES; White House Office; Treasury, Dept of; SENATE

Bills named: H.R. 3448 (113th), S. 1927 (113th), H.R. 5037 (113th), H.R. 4387 (113th), H.R. 4881 (113th), H.R. 5180 (113th)

Taxation/Internal Revenue Code TAX

S. 313 - ABLE Act of 2013 (Casey) S. 2261 - Tax Technical Corrections Act of 2014 (Wyden) H.R. 647 - ABLE Act of 2013 (Crenshaw) H.R. 4555 - Exemption for Certain Dividends Paid by RICs to Nonresident Aliens (Paulsen)S. 1257 - Protect American Investments Act of 2013 (Roberts) S. 2260 - EXPIRE Act of 2014 (Wyden) H.R. 2546 - Protect American Investments Act of 2013 (Price) H.R. 4619 - Permanent IRA Charitable Contribution Act of 2014 (Schock) H.R. 5528 - Tax Technical Corrections Act of 2014 (Camp) Tax Reform Stretch IRAs Annual Contribution Limits for Retirement Plans International Regulated Investment Companies Tax-Exemption for Municipal Bonds Financial Transaction Tax

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

Contacted: White House Office; SENATE; Treasury, Dept of; HOUSE OF REPRESENTATIVES

Bills named: S. 313 (113th), S. 1257 (113th), H.R. 4555 (113th), S. 2261 (113th), H.R. 2546 (113th), H.R. 4619 (113th), S. 2260 (113th), H.R. 647 (113th), H.R. 5528 (113th)

Retirement RET

S. 1145 - Lifetime Income Disclosure Act (Isakson) S. 1270 - SAFE Retirement Act of 2013 (Hatch) S. 1970 - Retirement Security Act of 2014 (Collins) S. 1979 - USA Retirement Funds Act (Harkin)H.R. 2035 - Automatic IRA Act of 2013 (Neal) H.R. 2117 - Retirement Plan Simplification and Enhancement Act of 2013 (Neal) H.R. 2171 - Lifetime Income Disclosure Act (Holt) H.R. 4376 - Retirement Security Act of 2014 (Braley) Electronic Delivery of Retirement Plan Information SAVE Act (Kind) Department of Labor Fiduciary Definition Security Throughout Retirement Act (Cantwell)

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

Contacted: White House Office; Treasury, Dept of; SENATE; HOUSE OF REPRESENTATIVES

Bills named: S. 1270 (113th), S. 1145 (113th), S. 1979 (113th), S. 1970 (113th), H.R. 2035 (113th), H.R. 2171 (113th), H.R. 4376 (113th), H.R. 2117 (113th)

Budget/Appropriations BUD

H.R. 5016 - FY 2015 Financial Services Appropriations Bill

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

Contacted: HOUSE OF REPRESENTATIVES; SENATE; White House Office; Treasury, Dept of

Bills named: H.R. 5016 (113th)

Homeland Security HOM

H.R. 3696 - National Cybersecurity and Critical Infrastructure Protection Act of 2013 (McCaul)

LobbyistCovered position, as disclosed
DONALD C AUERBACH —

Contacted: SENATE; White House Office; Treasury, Dept of; HOUSE OF REPRESENTATIVES

Bills named: H.R. 3696 (113th)

Intelligence INT

S. 2588 - Cybersecurity Information Sharing Act of 2014 (Feinstein)

LobbyistCovered position, as disclosed
DONALD C AUERBACH —

Contacted: HOUSE OF REPRESENTATIVES; Treasury, Dept of; SENATE; White House Office

Bills named: S. 2588 (113th)

Banking BAN

H.R. 5305 - Puerto Rico Chapter 9 Uniformity Act of 2014 (Pierluisi) H.R. 5421 - Financial Institution Bankruptcy Act of 2014 (Bachus)

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

Contacted: HOUSE OF REPRESENTATIVES; White House Office; SENATE; Treasury, Dept of

Bills named: H.R. 5421 (113th), H.R. 5305 (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.