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
​2023
 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 $
​1,040,000.00
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
1/19/2024 3:02:10 PM

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. 4664, House FY 2024 Financial Services and General Government Appropriations Act (Section 551)
S. 2309, Senate FY 2024 Financial Services and General Government Appropriations Act

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
​
​
Kristin
Solheim
​
​
Cynthia
Pullom
​
​
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 FIN

16. Specific lobbying issues

H.R. 448, Putting Investors First Act of 2023
H.R. 500, Financial Exploitation Prevention Act of 2023
H.R. 760, Chinese Military and Surveillance Company Sanctions Act of 2023
H.R. 1807, Improving Disclosure for Investors Act of 2023
H.R. 2627, Increasing Investor Opportunities Act
H.R. 3063, Retirement Fairness for Charities and Educational Institutions Act of 2023
H.R. 3812, Financial Stability Oversight Council Improvement Act of 2023
H.R. 4168, Mandatory Materiality Requirement Act of 2023
H.R. 4177, Improving Corporate Governance Through Diversity Act of 2023
H.R. 4237, Ensuring Sound Guidance Act
H.R. 4589, To provide for the registration of proxy advisory firms
H.R. 4590, To provide for liability for certain failures to disclose material information in connection with proxy voting advice
H.R. 4600, Protecting Retail Investors Savings Act
H.R. 4645, Empowering Shareholders Act of 2023
H.R. 4648, To provide for duties of certain investment advisors, asset managers, and pension funds with respect to voting on shareholder proposals
H.R. 4767, Protecting Americans Retirement Savings from Politics Act
H.R. 4790, GUARDRAIL Act of 2023
H.R. 6783, Capital Markets Financing and Economic Growth Investments Act of 2023
S. 1481, Financial Exploitation Prevention Act of 2023
S. 1799, Putting Investors First Act of 2023
S. 2005, Mandatory Materiality Requirement Act of 2023
S. 2007, Improving Corporate Governance Through Diversity Act of 2023
S. 2226, National Defense Authorization Act for Fiscal Year 2024 (outbound investment screening)
S. 2700, INDEX Act
General concerns regarding the volume, interconnectedness, and length of comment periods of SEC proposals
SEC mandatory swing pricing, hard close, and liquidity risk management proposal
SEC money market fund proposal
SEC predictive data analytics proposal
SEC Safeguarding Advisory Client Assets proposal
FSOC revised guidance on designation of nonbank SIFIs
Executive Order on Addressing United States Investments in Certain National Security Technologies and Products in Countries of Concern

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

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

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
​
​
Kristin
Solheim
​
​
Cynthia
Pullom
​
​
Wyatt
Stewart
​
​
Peter
Gunas
​
​
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 RET

16. Specific lobbying issues

H.R. 4008, Protecting Americans Retirement Savings Act
H.R. 5337, Retirement Proxy Protection Act
H.R. 5338, No Discrimination in My Benefits Act
H.R. 5339, Roll Back ESG to Increase Retirement Earnings Act
H.R. 5340, Providing Complete Information to Retirement Investors Act
S. 3305, Helping Young Americans Save for Retirement Act
Department of Labor QPAM proposal
Department of Labor Fiduciary proposal

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

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

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
​
​
Kristin
Solheim
​
​
Peter
Gunas
​
​
Andrew
Goldenbaum
​
​
Elena
Chism
​
​
Wyatt
Stewart
​
​
Lori
Kearns
​
​

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. 6065, Retirement Savings for Americans Act
S. 3102, Retirement Savings for Americans Act
401Kids Savings Account Act
Implementation of SECURE 2.0 Act of 2022
Roth Catch-up Contributions
IRC section 852(b)(6)
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, 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
John
Emling
​
​
Kristin
Solheim
​
​
Peter
Gunas
​
​
Andrew
Goldenbaum
​
​
Elena
Chism
​
​
Lori
Kearns
​
​

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)