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
John Duncan and Associates, LLC

2. Address

Address1
1207 Independence Ave SE
 Address2
​
City
Washington
 State
DC
 Zip Code
20003-1445
 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 DUNCAN
​2025578186
​jmduncandc@mac.com
5. Senate ID#
​40025200-63
7. Client Name Self Check if client is a state or local government or instrumentality
​The Livingston Group (on behalf of the Investment Company Institute)
6. House ID#
​398570002
TYPE OF REPORT 8. Year
​2020
 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
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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 $
​10,000.00
$5,000 or more $
​
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 DUNCAN
 Date
4/17/2020 1:14:50 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 FIN

16. Specific lobbying issues

S 603 Non-bank SIFI (Systemically Important Financial Institution) designation.
Constitutional design of the Consumer Financial Protection Bureau
Amendments to Section 36(b) of the Investment Company Act of 1940 to improve the ability of federal courts to terminate abusive
law suits before trial.
Relieve RIC (Regulated Investment Companies) advisers from duplicative CFTC registration as commodity pool operators under Rule 4.5
HR 1595 The SAFE Banking Act. The bill that would allow banks to provide financial services to state-regulated cannabis industries and those businesses that serve them. The lobbying concern is how the legislation might impact cannabis related investments.
The Diverse Asset Managers Act (no bill number yet) that is being considered by the House Financial Services Committee.
The CARES ACT (S 3548) and subsequent relief efforts as they pertain to the money market industry. Issues include hardship access to retirement accounts, RMD policy, industry critical infrastructure designation, electronic filing of forms and documents, keeping markets open through the crises.

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

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
Duncan
​
Deputy Undersecretary Department of the Treasury AA Senator William V. Roth, Jr

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

Oppose efforts to the use of "common ownership" as a measure of anti-competitive practices.

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

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 M
Duncan
​
Deputy Undersecretary, Department of the Treasury, AA to Senator William V. Roth, Jr

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

Oppose HR 1516 Financial transaction tax.
Oppose taxation of unrealized capital gains. A forthcoming bill expected from Senator Wyden.
Support parity for mutual fund products with other savings vehicles.
Expand the use of electronic delivery of retirement plan participant communications.
Support continued tax exemption for municipal bond interest.

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

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 M
Duncan
​
Deputy Undersecretary Department of the Treasury, AA to Senator William V. Roth, Jr

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
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City
​
State
​
Zip Code
​
Country
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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
​
​
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4
​
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ISSUE UPDATE

24. General lobbying issue that no longer pertains

​
​
​
​
​
​
​
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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)