Clerk of the House of Representatives
Legislative Resource Center
135 Cannon Building
Washington, DC 20515
http://lobbyingdisclosure.house.gov 		Secretary of the Senate
Office of Public Records
232 Hart Building
Washington, DC 20510
http://www.senate.gov/lobby
LOBBYING REPORT

Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page

1. Registrant Name Organization/Lobbying Firm Self Employed Individual
Investment Company Institute

2. Address

Address1
1401 H STREET, NW
 Address2
​SUITE 1200
City
WASHINGTON
 State
DC
 Zip Code
20005
 Country
USA

3. Principal place of business (if different than line 2)

City
​
State
​
Zip Code
​
Country
​
4a. Contact Name b. Telephone Number c. E-mail
​Mr.
​John Emling
​2023265800
​ashley.cavossa@ici.org
5. Senate ID#
​20128-12
7. Client Name Self Check if client is a state or local government or instrumentality
​Investment Company Institute
6. House ID#
​311170000
TYPE OF REPORT 8. Year
​2022
 Q1 (1/1 - 3/31) Q2 (4/1 - 6/30) Q3 (7/1 - 9/30) Q4 (10/1 - 12/31)

9. Check if this filing amends a previously filed version of this report

10. Check if this is a Termination Report Termination Date
​
11. No Lobbying Issue Activity
INCOME OR EXPENSES - YOU MUST complete either Line 12 or Line 13
12. Lobbying 13. Organizations
INCOME relating to lobbying activities for this reporting period was: EXPENSE relating to lobbying activities for this reporting period were:
Less than $5,000
Less than $5,000
$5,000 or more $
​
$5,000 or more $
​710,000.00
Provide a good faith estimate, rounded to the nearest $10,000, of all lobbying related income for the client (including all payments to the registrant by any other entity for lobbying activities on behalf of the client). 14. REPORTING Check box to indicate expense accounting method. See instructions for description of options.
Method A. Reporting amounts using LDA definitions only

Method B. Reporting amounts under section 6033(b)(8) of the Internal Revenue Code

Method C. Reporting amounts under section 162(e) of the Internal Revenue Code

Signature
Digitally Signed By: John Emling
 Date
1/20/2023 11:50:42 AM

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code FIN

16. Specific lobbying issues

H.R. 699- Mutual Fund Litigation Reform Act (Emmer)
H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks)
H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty)
H.R. 2265- Financial Exploitation Prevention Act (Wagner)
H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk)
H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster)
H.R. 4262- Increasing Investor Opportunities Act (Gonzalez)
H.R. 7151- Ensuring Sound Guidance Act (Barr)
H.R. 8521- INvestor Democracy is EXpected (INDEX) Act (Huizenga)
H.R. 9089- Consumer Financial Choice and Capital Markets Protection Act of 2022 (Williams)
H.R. 9408- Mandatory Materiality Requirement Act of 2022 (Huizenga)
H.R. 9526- Review the Expansion of Government Act (Kim)
H.R. 9527- Putting Investors First Act of 2022 (Steil)
H.R. 9570- Improving Disclosure for Investors Act of 2022 (Huizenga)
S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez)
S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey)
S. 3948- Increasing Investor Opportunities Act (Daines)
S. 4241- INvestor Democracy is EXpected (INDEX) Act (Sullivan)
S. 5004- Alleviating Stress Test Burdents to Help Investors Act (Rounds)
S. 5005- Mandatory Materiality Requirement Act of 2022 (Rounds)
Diverse Investment Advisers Act (draft)
Diversity and Inclusion in the Asset Management Industry
Processing fees for delivering investment materials
SEC data security/Consolidated Audit Trail breach notification
SEC money market fund proposal
SEC proposed amendments to the fund names rule
SEC proposed Investment Adviser and Fund Disclosures about ESG Investment Practices
SEC public company climate disclosure proposal
SEC open-end fund liquidity rule, swing pricing, and hard close proposal
SEC outsourcing by investment advisers proposal



17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
Cynthia
Pullom
​
​
Kathleen
Mellody
​
​
John
Emling
​
​
Peter
Gunas
​
​
Wyatt
Stewart
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code RET

16. Specific lobbying issues

S. 4973- Retirement Savings Modernization Act (Toomey)
Department of Labor QPAM proposal
Department of Labor rule on ESG Investing and Proxy Voting
Electronic Distribution of retirement plan communications
Qualified Default Investment Alternatives

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Labor - Dept of (DOL)

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
Peter
Gunas
​
​
Kathleen
Mellody
​
​
John
Emling
​
​
Elena
Chism
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code TAX

16. Specific lobbying issues

H.R. 2617- SECURE 2.0 Act of 2022
H.R. 9462- Retirement Savings for Americans Act of 2022 (Sewell)
S. 2621- Modernization of Derivatives Tax Act of 2021 (Wyden)
S. 5271- Retirement Savings for Americans Act of 2022 (Hickenlooper)
Allow 403(b) plans to invest in collective investment trusts
Auto-IRA/Plan Requirement
Capital gains and dividends taxation
Certifications of US Tax Residency
Excise tax on corporate stock buybacks
IRC section 852(b)(6)
IRS Permanent Relief for Remote Witnessing Procedures
Related Parties Wash Sale Rule
Tax deferral of retirement contributions






17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Treasury - Dept of

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
Peter
Gunas
​
​
Andrew
Goldenbaum
​
​
Kathleen
Mellody
​
​
Elena
Chism
​
​
John
Emling
​
​
Cynthia
Pullom
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code BUD

16. Specific lobbying issues

H.R. 2617- FY 2023 Financial Services and General Government Appropriations

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
John
Emling
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code LBR

16. Specific lobbying issues

FTC Hart-Scott-Rodino Proposal

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES

18. Name of each individual who acted as a lobbyist in this issue area

First Name Last Name Suffix Covered Official Position (if applicable) New
John
Emling
​
​

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​

Information Update Page - Complete ONLY where registration information has changed.

20. Client new address

Address
​
City
​
State
​
Zip Code
​
Country
​

21. Client new principal place of business (if different than line 20)

City
​
State
​
Zip Code
​
Country
​

22. New General description of client’s business or activities

​

LOBBYIST UPDATE

23. Name of each previously reported individual who is no longer expected to act as a lobbyist for the client

First Name
Last Name
Suffix
First Name
Last Name
Suffix
1
​
​
​
3
​
​
​
2
​
​
​
4
​
​
​

ISSUE UPDATE

24. General lobbying issue that no longer pertains

​
​
​
​
​
​
​
​
​

AFFILIATED ORGANIZATIONS

25. Add the following affiliated organization(s)

Internet Address:

Name Address Principal Place of Business
(city and state or country)
Street Address
City State/Province Zip Country
City
State Country

26. Name of each previously reported organization that is no longer affiliated with the registrant or client

1 2 3

FOREIGN ENTITIES

27. Add the following foreign entities:

Name Address Principal place of business
(city and state or country) 		Amount of contribution for lobbying activities Ownership percentage in client
Street Address
City State/Province Country
City
State Country
%

28. Name of each previously reported foreign entity that no longer owns, or controls, or is affiliated with the registrant, client or affiliated organization

1 3 5
2 4 6

CONVICTIONS DISCLOSURE

29. Have any of the lobbyists listed on this report been convicted in a Federal or State Court of an offense involving bribery, extortion, embezzlement, an illegal kickback, tax evasion, fraud, a conflict of interest, making a false statement, perjury, or money laundering?

Lobbyist Name Description of Offense(s)