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 REGISTRATION

Lobbying Disclosure Act of 1995 (Section 4)

Check One: New Registrant New Client for Existing Registrant Amendment

1. Effective Date of Registration
05/1/2008
2. House Identification
 39857
Senate Identification
 40025200

REGISTRANT Organization/Lobbying Firm Self Employed Individual

3. Registrant Organization
John Duncan and Associates, LLC
Address
1207 Independence Ave SE
Address2
City
Washington
State
DC
Zip
20003-1445
Country
USA

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

City
State
Zip
Country
5. Contact name and telephone number International Number
Contact
​Mr. John Duncan
Telephone
​2025578186
E-mail
​jduncanassociates@gmail.com
6. General description of registrant’s business or activities
​Government Relations

CLIENT A Lobbying Firm is required to file a separate registration for each client. Organizations employing in-house lobbyists should check the box labeled “Self” and proceed to line 10. Self

7. Client name
​The Investment Company Institute
Address
​1401 H Street, NW
City
​Washington
State
​DC
Zip
​20005
Country
​USA
8. Principal place of business (if different than line 7)
City
State
Zip
Country
9. General description of client’s business or activities
​Mutual fund industry trade association

LOBBYISTS

10. Name of each individual who has acted or is expected to act as a lobbyist for the client identified on line 7. If any person listed in this section has served as a “covered executive branch official” or “covered legislative branch official” within twenty years of first acting as a lobbyist for the client, state the executive and/or legislative position(s) in which the person served.

Name Covered Official Position (if applicable)
First
Last
Suffix
​John ​Duncan ​Deputy Undersecretary Department of the Treasury
​AA Senator William V. Roth, Jr

LOBBYING ISSUES

11. General lobbying issue areas (Select all applicable codes).

​BAN
​FIN
​TAX

12. Specific lobbying issues (current and anticipated)

(1) Fee issues (2) Tax Extenders


AFFILIATED ORGANIZATIONS

13. Is there an entity other than the client that contributes more than $5,000 to the lobbying activities of the registrant in a quarterly period and either participates in and/or in whole or in major part supervises or controls the registrant’s lobbying activities?

No --> Go to line 14. Yes --> Complete the rest of this section for each entity matching the criteria above, then proceed to line 14.

Internet Address:
Name Address Principal Place of Business
Street
City State/Province Zip Code Country
City
State
Country
City
State
Country
City
State
Country

FOREIGN ENTITIES

14. Is there any foreign entity

a) holds at least 20% equitable ownership in the client or any organization identified on line 13; or

b) directly or indirectly, in whole or in major part, plans, supervises, controls, directs, finances or subsidizes activities of the client or any organization identified on line 13; or

c) is an affiliate of the client or any organization identified on line 13 and has a direct interest in the outcome of the lobbying activity?

No --> Sign and date the registration. Yes --> Complete the rest of this section for each entity matching the criteria above, then sign the registration.

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

City
State
Country
%
City
State
Country
%

Signature
Digitally Signed By: John M Duncan
Date
6/13/2008