Government mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions.
(1) Issues related to proxy voting options for share owners to vote at stockholder meetings.
(2) Issues related to investment advisors considering only monetary factors when making investment decisions.
Duration: May 1, 2008
to
present
General Issues: Financial Institutions/Investments/Securities , Budget/Appropriations , Taxation/Internal Revenue Code , Economics/Economic Development , Labor Issues/Antitrust/Workplace , Banking
Spending: about $630,000 (But it's complicated. Here's why.)
It can be tricky to figure out how much an organization spent on a particular lobbying engagement. The law only requires lobbyists to report the amount they were paid for federal lobbying each quarter rounded to the nearest $10,000—and if it's less than $3,000 in a given quarter (or less than $13,000 for organizations with in-house lobbyists), they don't have to disclose it at all. Plus, some organizations include spending that doesn’t belong in the report—for instance, money spent lobbying state governments or other legal work.
Agencies lobbied since 2008: U.S. Senate, House of Representatives
Lobbyists
Lobbyists named here were listed on a filing related to this lobbying engagement. They may not be working on it now. Occasionally, a single lobbyist whose name is spelled two different ways on filings may be represented twice here.
Lobbyist
Covered positions?
John Duncan Deputy Undersecretary Department of the Treasury
Deputy Undersecretary Department of the Treasury
AA Senator William V. Roth, Jr
Deputy Undersecretary for Legislative Affairs, Department of the Treasury
AA to Senator William V. Roth, Jr.,
Deputy Undersecretary, Department of Treasury
Deputy Undersecretary, Department of the Treasury, AA to Senator William V. Roth
John M Duncan Deputy Undersecretary, Department of the Treasury,
AA to Senator William V. Roth, Jr
Deputy Undersecretary Department of the Treasury,
AA to Senator William V. Roth, Jr
Deputy Undersecretary Department of the Treasury
AA Senator William V. Roth, Jr
Disclosures Filed
Once a lobbying engagement begins, the lobbyist or firm is required to file updates four times a year. Those updates sometimes change which lobbyists are involved or add new issues being discussed. When lobbyists stop working for a client, the firm is also supposed to file a report disclosing the end of the relationship.
1st Quarter, 2024
In Q1, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on April 17.
Original Filing: 301552254.xml
Lobbying Issues
Government mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions.
(1) Issues related to proxy voting options for share owners to vote at stockholder meetings.
(2) Issues related to investment advisors considering only monetary factors when making investment decisions.
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2023
In Q4, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Jan. 17.
Original Filing: 301526321.xml
Lobbying Issues
Government mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions.
(1) Issues related to proxy voting options for share owners to vote at stockholder meetings.
(2) Issues related to investment advisors considering only monetary factors when making investment decisions.
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2023
In Q3, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Oct. 19, 2023.
Original Filing: 301508185.xml
Lobbying Issues
Government mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions.
(1) Issues related to proxy voting options for share owners to vote at stockholder meetings.
(2) Issues related to investment advisors considering only monetary factors when making investment decisions.
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2023
In Q2, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on July 18, 2023.
Original Filing: 301478838.xml
Lobbying Issues
Government mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions.
(1) Issues related to proxy voting options for share owners to vote at stockholder meetings.
(2) Issues related to investment advisors considering only monetary factors when making investment decisions.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Issues related to debt ceiling extension
1st Quarter, 2023
In Q1, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on April 19, 2023.
Original Filing: 301456114.xml
Lobbying Issues
Government mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions.
(1) Issues related to proxy voting options for share owners to vote at stockholder meetings.
(2) Issues related to investment advisors considering only monetary factors when making investment decisions.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Issues related to debt ceiling extension
4th Quarter, 2022
In Q4, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Jan. 16, 2023.
Original Filing: 301428563.xml
Lobbying Issues
Government mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions.
(1) S.4241 INDEX Act, a bill that would require money managers to provide proxy voting options for share owners to vote at stockholder meetings.
(2) Ensuring Sound Guidance (ESG) Act. Requires investment advisors to consider only monetary factors when making investment decisions.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Passage of SECURE 2.0 in the Senate.
(1) S. 4353, Rise and Shine Act, (HELP Committee version of SECURE 2.0)
(2) Enhancing American Retirement Now (EARN Act), (Finance Committee version of SECURE 2.0)
Type of Issue
Taxation/Internal Revenue Code
3rd Quarter, 2022
In Q3, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Oct. 19, 2022.
Original Filing: 301410029.xml
Lobbying Issues
Government mandated ESG (Environment, Social, Governance) policies as they pertain to investment decisions.
(1) S.4241 INDEX Act, a bill that would require money managers to provide proxy voting options for share owners to vote at stockholder meetings.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Passage of SECURE 2.0 in the Senate.
(1) S. 4353, Rise and Shine Act, (HELP Committee version of SECURE 2.0)
(2) Enhancing American Retirement Now (EARN Act), (Finance Committee version of SECURE 2.0)
Type of Issue
Taxation/Internal Revenue Code
2nd Quarter, 2022
In Q2, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on July 19, 2022.
Original Filing: 301386213.xml
Lobbying Issues
(1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021
(2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services.
(3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes.
(4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes.
(5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council
(6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender-diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes.
(8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes.
(9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes.
(11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes.
(12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes.
(13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021
(14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940.
(15) H.R. 3899, FSOC nonbank SIFI designation
(16) S.4241 INDEX Act, a bill that would require money managers to provide proxy voting options for share owners to vote at stockholder meetings.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
The Build America Act of 2021 (HR227) and the Build Back Better Act of 2021 (HR 5376) as they relate to
(1) Expanding retirement-savings opportunities (SECURE 2.0, Cardin-Portman)
(2) Defend tax deferral of retirement plan contributions
(3) Support parity for mutual fund products with other savings vehicles
(4) Support a preferential Capital gains tax rate, step-up in basis, and mark-to-market
(5) Oppose financial transaction tax proposals
(6) Preserve the tax exemption for municipal bond interest (advance refunding)
(7) Enhance the international tax competitiveness of US mutual funds
(8) Financial account reporting
(9) Certifications of US tax residency
(10) S. 4353, Rise and Shine Act, (HELP Committee version of SECURE 2.0)
(11) Enhancing American Retirement Now (EARN Act), (Finance Committee version of SECURE 2.0)
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
(1) H.Res 104, S.Res 43, Recognizing the duty of the Federal Government to implement an agenda to Transform, Heal, and Renew by Investing in a Vibrant Economy ("THRIVE") Referred to the committees on Education and Labor, Energy and Commerce, Transportation and infrastructure, Natural Resources, and Agriculture and numerous subcommittees, Feb. 18, 2021
Type of Issue
Economics/Economic Development
Lobbying Issues
House FSGG (Financial Services and General Government) report language pertaining to FSOC, certifications of tax residency, consolidated audit trail, data security, E-Delivery, and ESG reporting standards.
1st Quarter, 2022
In Q1, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on April 19, 2022.
Original Filing: 301363996.xml
Lobbying Issues
(1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021
(2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services.
(3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes.
(4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes.
(5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council
(6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender-diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes.
(8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes.
(9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes.
(11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes.
(12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes.
(13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021
(14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940.
(15) H.R. 3899, FSOC nonbank SIFI designation
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
The Build America Act of 2021 (HR227) and the Build Back Better Act of 2021 (HR 5376) as they relate to
(1) Expanding retirement-savings opportunities (SECURE 2.0, Cardin-Portman)
(2) Defend tax deferral of retirement plan contributions
(3) Support parity for mutual fund products with other savings vehicles
(4) Support a preferential Capital gains tax rate, step-up in basis, and mark-to-market
(5) Oppose financial transaction tax proposals
(6) Preserve the tax exemption for municipal bond interest (advance refunding)
(7) Enhance the international tax competitiveness of US mutual funds
(8) Financial account reporting
(9) Certifications of US tax residency
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
(1) H.Res 104, S.Res 43, Recognizing the duty of the Federal Government to implement an agenda to Transform, Heal, and Renew by Investing in a Vibrant Economy ("THRIVE") Referred to the committees on Education and Labor, Energy and Commerce, Transportation and infrastructure, Natural Resources, and Agriculture and numerous subcommittees, Feb. 18, 2021
Type of Issue
Economics/Economic Development
Lobbying Issues
Retain House FSGG (Financial Services and General Government) report language pertaining to FSOC, certifications of tax residency, consolidated audit trail, data security, E-Delivery, and ESG reporting standards.
4th Quarter, 2021
In Q4, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Jan. 19, 2022.
Original Filing: 301326693.xml
Lobbying Issues
(1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021
(2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services.
(3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes.
(4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes.
(5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council
(6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender-diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes.
(8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes.
(9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes.
(11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes.
(12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes.
(13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021
(14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940.
(15) H.R. 3899, FSOC nonbank SIFI designation
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
The Build America Act of 2021 (HR227) and the Build Back Better Act of 2021 (HR 5376) as they relate to
(1) Expanding retirement-savings opportunities (SECURE 2.0, Cardin-Portman)
(2) Defend tax deferral of retirement plan contributions
(3) Support parity for mutual fund products with other savings vehicles
(4) Support a preferential Capital gains tax rate, step-up in basis, and mark-to-market
(5) Oppose financial transaction tax proposals
(6) Preserve the tax exemption for municipal bond interest (advance refunding)
(7) Enhance the international tax competitiveness of US mutual funds
(8) Financial account reporting
(9) Certifications of US tax residency
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
(1) H.Res 104, S.Res 43, Recognizing the duty of the Federal Government to implement an agenda to Transform, Heal, and Renew by Investing in a Vibrant Economy ("THRIVE") Referred to the committees on Education and Labor, Energy and Commerce, Transportation and infrastructure, Natural Resources, and Agriculture and numerous subcommittees, Feb. 18, 2021
Type of Issue
Economics/Economic Development
Lobbying Issues
Retain House FSGG (Financial Services and General Government) report language pertaining to FSOC, certifications of tax residency, consolidated audit trail, data security, E-Delivery, and ESG reporting standards.
3rd Quarter, 2021
In Q3, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Oct. 18, 2021.
Original Filing: 301301320.xml
Lobbying Issues
(1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021
(2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services.
(3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes.
(4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes.
(5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council
(6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender-diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes.
(8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes.
(9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes.
(11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes.
(12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes.
(13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021
(14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940.
(15) H.R. 3899, FSOC nonbank SIFI designation
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
The Build America Act of 2021 (HR227) and the Build Back Better Act of 2021 (HR 5376) as they relate to
(1) Expanding retirement-savings opportunities (SECURE 2.0, Cardin-Portman)
(2) Defend tax deferral of retirement plan contributions
(3) Support parity for mutual fund products with other savings vehicles
(4) Support a preferential Capital gains tax rate, step-up in basis, and mark-to-market
(5) Oppose financial transaction tax proposals
(6) Preserve the tax exemption for municipal bond interest (advance refunding)
(7) Enhance the international tax competitiveness of US mutual funds
(8) Financial account reporting
(9) Certifications of US tax residency
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
(1) H.Res 104, S.Res 43, Recognizing the duty of the Federal Government to implement an agenda to Transform, Heal, and Renew by Investing in a Vibrant Economy ("THRIVE") Referred to the committees on Education and Labor, Energy and Commerce, Transportation and infrastructure, Natural Resources, and Agriculture and numerous subcommittees, Feb. 18, 2021
Type of Issue
Economics/Economic Development
Lobbying Issues
Retain House FSGG (Financial Services and General Government) report language pertaining to FSOC, certifications of tax residency, consolidated audit trail, data security, E-Delivery, and ESG reporting standards.
2nd Quarter, 2021
In Q2, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on July 19, 2021.
Original Filing: 301282357.xml
Lobbying Issues
(1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021
(2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services.
(3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes.
(4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes.
(5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council
(6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender-diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes.
(8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes.
(9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes.
(11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes.
(12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes.
(13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021
(14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
(1) The American Jobs Plan as it pertains to the taxation of capital gains. The plan has been announced but not submitted in legislative form pending negotiations. Initial indications are that it will not contain any changes to individual income tax rates, including capital gains.
(2) A social infrastructure plan is expected to be unveiled and considered in connection with a third reconciliation bill which may address individual income tax rates, including capital gains.
(3) The "bipartisan Senate infrastructure plan" (at concept stage) as it pertains to payfors.
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
(1) H.Res 104, S.Res 43, Recognizing the duty of the Federal Government to implement an agenda to Transform, Heal, and Renew by Investing in a Vibrant Economy ("THRIVE") Referred to the committees on Education and Labor, Energy and Commerce, Transportation and infrastructure, Natural Resources, and Agriculture and numerous subcommittees, Feb. 18, 2021
Type of Issue
Economics/Economic Development
Lobbying Issues
Retain House FSGG (Financial Services and General Government) report language pertaining to FSOC, certifications of tax residency, consolidated audit trail, data security, E-Delivery, and ESG reporting standards.
1st Quarter, 2021
In Q1, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on April 19, 2021.
Original Filing: 301256234.xml
Lobbying Issues
(1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021
(2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services.
(3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes.
(4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes.
(5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council
(6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender-diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes.
(8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes.
(9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes.
(10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes.
(11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes.
(12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes.
(13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
(1) The American Jobs Plan as it pertains to the taxation of capital gains. The plan has been announced but not submitted in legislative form pending negotiations. Initial indications are that it will not contain any changes to individual income tax rates, including capital gains.
(2) A social infrastructure plan is expected to be unveiled and considered in connection with a third reconciliation bill which may address individual income tax rates, including capital gains.
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
(1) H.Res 104, S.Res 43, Recognizing the duty of the Federal Government to implement an agenda to Transform, Heal, and Renew by Investing in a Vibrant Economy ("THRIVE") Referred to the committees on Education and Labor, Energy and Commerce, Transportation and infrastructure, Natural Resources, and Agriculture and numerous subcommittees, Feb. 18, 2021
Type of Issue
Economics/Economic Development
4th Quarter, 2020
In Q4, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Jan. 19, 2021.
Original Filing: 301236354.xml
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 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.
Possible oversight of Money Market Funds with a special emphasis on how liquidity rules are becoming a "gate and fee" issue.
Guidance from the Office of Foreign Asset Control (OFAC) concerning the application of Executive Order 13959 (sanctions on Communist Chinese Military Companies) to ICI companies.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Oppose efforts to the use of "common ownership" as a measure of anti-competitive practices.
Support Department of Labor e-delivery rule that allows employers to deliver disclosures to plan participants electronically by default.
Type of Issue
Labor Issues/Antitrust/Workplace
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.
Expand "catch-up" provisions to apply to savers affected by the Coronavirus Recession.
Support China listing standards legislation (requires that China and US firms be under by the same SEC audit standards).
Improving last years SECURE Act by requiring more profit and non-profit employers to offer 401 (k) and 403 (b) plans; exempt plan balances under $250,000 from RMD rules; and add a savers credit.
Senator Grassley Multiemployer pension reform proposal
Portman/Cardin bill (S. 1431) 50 provisions intended to accomplish the broad objectives of allowing people who have saved too little to set more aside for their retirement, help small businesses offer 401(k)s and other retirement plans, expanding access to retirement savings plans for low-income Americans without coverage, and providing more certainty and flexibility in retirement.
Type of Issue
Taxation/Internal Revenue Code
3rd Quarter, 2020
In Q3, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Oct. 19, 2020.
Original Filing: 301215606.xml
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 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.
Possible oversight of Money Market Funds with a special emphasis on how liquidity rules are becoming a "gate and fee" issue.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Oppose efforts to the use of "common ownership" as a measure of anti-competitive practices.
Support Department of Labor e-delivery rule that allows employers to deliver disclosures to plan participants electronically by default.
Type of Issue
Labor Issues/Antitrust/Workplace
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.
Expand "catch-up" provisions to apply to savers affected by the Coronavirus Recession.
Support China listing standards legislation (requires that China and US firms be under by the same SEC audit standards).
Improving last years SECURE Act by requiring more profit and non-profit employers to offer 401 (k) and 403 (b) plans; exempt plan balances under $250,000 from RMD rules; and add a savers credit.
Senator Grassley Multiemployer pension reform proposal
Portman/Cardin bill (S. 1431) 50 provisions intended to accomplish the broad objectives of allowing people who have saved too little to set more aside for their retirement, help small businesses offer 401(k)s and other retirement plans, expanding access to retirement savings plans for low-income Americans without coverage, and providing more certainty and flexibility in retirement.
Type of Issue
Taxation/Internal Revenue Code
2nd Quarter, 2020
In Q2, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on July 18, 2020.
Original Filing: 301193100.xml
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.
Possible oversight of Money Market Funds with a special emphasis on how liquidity rules are becoming a "gate and fee" issue.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Oppose efforts to the use of "common ownership" as a measure of anti-competitive practices.
Support Department of Labor e-delivery rule that allows employers to deliver disclosures to plan participants electronically by default.
Type of Issue
Labor Issues/Antitrust/Workplace
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.
Expand "catch-up" provisions to apply to savers affected by the Coronavirus Recession.
Support China listing standards legislation (requires that China and US firms be under by the same SEC audit standards).
Type of Issue
Taxation/Internal Revenue Code
1st Quarter, 2020
In Q1, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on April 17, 2020.
Original Filing: 301169915.xml
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.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Oppose efforts to the use of "common ownership" as a measure of anti-competitive practices.
Type of Issue
Labor Issues/Antitrust/Workplace
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.
Type of Issue
Taxation/Internal Revenue Code
4th Quarter, 2019
In Q4, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Jan. 13, 2020.
Original Filing: 301104653.xml
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.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Oppose efforts to the use of "common ownership" as a measure of anti-competitive practices.
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Oppose HR 1516 Financial transaction tax.
Oppose taxation of unrealized capital gains. A forthcoming bill expected from Senator Wyden.
Support HR 1994 "Setting Every Community Up for Retirement Enhancement Act of 2019" amends the Internal Revenue Code of 1986 to encourage retirement savings.
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.
Type of Issue
Taxation/Internal Revenue Code
3rd Quarter, 2019
In Q3, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Oct. 20, 2019.
Original Filing: 301072615.xml
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.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Oppose efforts to the use of "common ownership" as a measure of anti-competitive practices.
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Oppose HR 1516 Financial transaction tax.
Oppose taxation of unrealized capital gains. A forthcoming bill expected from Senator Wyden.
Support HR 1994 "Setting Every Community Up for Retirement Enhancement Act of 2019" amends the Internal Revenue Code of 1986 to encourage retirement savings.
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.
Type of Issue
Taxation/Internal Revenue Code
2nd Quarter, 2019
In Q2, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on July 22, 2019.
Original Filing: 301056023.xml
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
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Oppose efforts to the use of "common ownership" as a measure of anti-competitive practices.
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Oppose HR 1516 Financial transaction tax.
Oppose taxation of unrealized capital gains. A forthcoming bill expected from Senator Wyden.
Support HR 1994 "Setting Every Community Up for Retirement Enhancement Act of 2019" amends the Internal Revenue Code of 1986 to encourage retirement savings.
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.
Type of Issue
Taxation/Internal Revenue Code
1st Quarter, 2019
In Q1, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on April 19, 2019.
Original Filing: 301032088.xml
Lobbying Issues
Non-bank SIFI (Systemically Important Financial Institution) designation. No bill yet, but a hearing has a been held.
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
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Oppose efforts to the use of "common ownership" as a measure of anti-competitive practices.
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Oppose HR 1516 Financial transaction tax.
Oppose taxation of unrealized capital gains. A forthcoming bill expected from Senator Wyden.
Support HR 1994 "Setting Every Community Up for Retirement Enhancement Act of 2019" amends the Internal Revenue Code of 1986 to encourage retirement savings.
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.
Type of Issue
Taxation/Internal Revenue Code
4th Quarter, 2018
In Q4, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Jan. 11, 2019.
Original Filing: 301003788.xml
Lobbying Issues
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 before trial abusive law suits.
HR 4738, Mutual Fund Litigation Reform Act
HR 4566, Alleviating Stress Test Burdens to Help Investors Act
HR 2319, Consumer Financial Choice and Capital Markets Protection Act of 2017
The use of common ownership as a anti-competitive measure
Opposition to the inclusion of the Lifetime Income Disclosure Act in HR88 (the Brady tax bill)
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Implementation of the Fiduciary Rule
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Tax treatment of retirement accounts generally and the tax deductibility status of 401k plans in particular.
Type of Issue
Taxation/Internal Revenue Code
3rd Quarter, 2018
In Q3, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Oct. 10, 2018.
Original Filing: 300984088.xml
Lobbying Issues
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 before trial abusive law suits.
HR 4738, Mutual Fund Litigation Reform Act
HR 4566, Alleviating Stress Test Burdens to Help Investors Act
HR 2319, Consumer Financial Choice and Capital Markets Protection Act of 2017
The use of common ownership as a anti-competitive measure
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Implementation of the Fiduciary Rule
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Tax treatment of retirement accounts generally and the tax deductibility status of 401k plans in particular.
Type of Issue
Taxation/Internal Revenue Code
2nd Quarter, 2018
In Q2, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on July 18, 2018.
Original Filing: 300967904.xml
Lobbying Issues
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 before trial abusive law suits.
HR 4738, Mutual Fund Litigation Reform Act
HR 4566, Alleviating Stress Test Burdens to Help Investors Act
HR 2319, Consumer Financial Choice and Capital Markets Protection Act of 2017
The use of common ownership as a anti-competitive measure
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Implementation of the Fiduciary Rule
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Tax treatment of retirement accounts generally and the tax deductibility status of 401k plans in particular.
Type of Issue
Taxation/Internal Revenue Code
1st Quarter, 2018
In Q1, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on April 16, 2018.
Original Filing: 300945475.xml
Lobbying Issues
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 before trial abusive law suits.
HR 4738, Mutual Fund Litigation Reform Act
HR 4566, Alleviating Stress Test Burdens to Help Investors Act
HR 2319, Consumer Financial Choice and Capital Markets Protection Act of 2017
The use of common ownership as a anti-competitive measure
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Implementation of the Fiduciary Rule
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Tax treatment of retirement accounts generally and the tax deductibility status of 401k plans in particular.
Type of Issue
Taxation/Internal Revenue Code
4th Quarter, 2017
In Q4, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Jan. 21, 2018.
Original Filing: 300931936.xml
Lobbying Issues
Non-bank SIFI (Systemically Important Financial Institution) designation
Constitutional design of the Consumer Financial Protection Bureau
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Implementation of the Fiduciary Rule
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Tax treatment of retirement accounts in tax reform (HR 1) generally and the tax deductibility status of 401k plans in particular.
"First-in first-out" Stock sales treatment provision.
Type of Issue
Taxation/Internal Revenue Code
3rd Quarter, 2017
In Q3, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Oct. 18, 2017.
Original Filing: 300907182.xml
Lobbying Issues
Non-bank SIFI (Systemically Important Financial Institution) designation
Constitutional design of the Consumer Financial Protection Bureau
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Implementation of the Fiduciary Rule
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Tax treatment of retirement accounts in tax reform generally and the tax deductibility status of 401k plans in particular.
Agencies Lobbied
U.S. Senate
Type of Issue
Taxation/Internal Revenue Code
2nd Quarter, 2017
In Q2, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on July 11, 2017.
Original Filing: 300883356.xml
Lobbying Issues
Non-bank SIFI (Systemically Important Financial Institution) designation
Constitutional design of the Consumer Financial Protection Bureau
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Implementation of the Fiduciary Rule
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Tax treatment of retirement accounts in tax reform generally and the tax deductibility status of 401k plans in particular.
Type of Issue
Taxation/Internal Revenue Code
1st Quarter, 2017
In Q1, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on April 11, 2017.
Original Filing: 300863971.xml
Lobbying Issues
Non-bank SIFI (Systemically Important Financial Institution) designation
Constitutional design of the Consumer Financial Protection Bureau
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Implementation of the Fiduciary Rule
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Tax treatment of retirement accounts in tax reform.
Type of Issue
Taxation/Internal Revenue Code
4th Quarter, 2016
In Q4, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Jan. 13, 2017.
Original Filing: 300845886.xml
Lobbying Issues
H.R. 5485 & S. 3067, FY 2017 Financial Services Appropriations Bill, SEC regulation regarding electronic delivery of shareholder reports. Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-517) implementation and funding issues regarding the Financial Stability Oversight Council. SIFI (Systemically Important Financial Institutions) designation for asset managers. Regulatory activities of the CFPB, particularly the practice of using enforcement orders to establish policy instead of rule-making. S. 1484, The Financial Regulatory Improvement Act of 2015. Electronic delivery of share-holder reports.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
H.R. 5485 & S. 3067, FY 2017 Financial Services Appropriations.
The Security and Exchange Commission's (SEC) Proposed Rule 30e-3 would allow mutual funds to switch to digital delivery of financial reporting information.
Lobbying Issues
401K Fee Disclosure
Department of Laobr's proposed rule defining "fiduciary duty" for retirement advice and services
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
Payroll deducted IRA
Savers credit
Policy towards 401K --contributions limits and fund consolidation
Financial transaction tax
Type of Issue
Taxation/Internal Revenue Code
3rd Quarter, 2016
In Q3, John Duncan and Associates, LLC lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Oct. 7, 2016.
Original Filing: 300825717.xml
Lobbying Issues
H.R. 5485 & S. 3067, FY 2017 Financial Services Appropriations Bill, SEC regulation regarding electronic delivery of shareholder reports. Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-517) implementation and funding issues regarding the Financial Stability Oversight Council. SIFI (Systemically Important Financial Institutions) designation for asset managers. Regulatory activities of the CFPB, particularly the practice of using enforcement orders to establish policy instead of rule-making. S. 1484, The Financial Regulatory Improvement Act of 2015. Electronic delivery of share-holder reports.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
H.R. 5485 & S. 3067, FY 2017 Financial Services Appropriations.
The Security and Exchange Commission's (SEC) Proposed Rule 30e-3 would allow mutual funds to switch to digital delivery of financial reporting information.
2nd Quarter, 2016
In Q2, John Duncan and Associates, LLC did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on July 14, 2016.
Original Filing: 300809548.xml
2nd Quarter, 2016
John Duncan and Associates, LLC amended a lobbying report for representation of The Livingston Group (on behalf of the Investment Company Institute) in Q22016 on July 14, 2016.
Original Filing: 300809624.xml
Lobbying Issues
H.R. 5485 & S. 3067, FY 2017 Financial Services Appropriations Bill, SEC regulation regarding electronic delivery of shareholder reports. Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-517) implementation and funding issues regarding the Financial Stability Oversight Council. SIFI (Systemically Important Financial Institutions) designation for asset managers. Regulatory activities of the CFPB, particularly the practice of using enforcement orders to establish policy instead of rule-making. S. 1484, The Financial Regulatory Improvement Act of 2015. Electronic delivery of share-holder reports.
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
H.R. 5485 & S. 3067, FY 2017 Financial Services Appropriations.
The Security and Exchange Commission's (SEC) Proposed Rule 30e-3 would allow mutual funds to switch to digital delivery of financial reporting information.
1st Quarter, 2016
In Q1, John Duncan and Associates, LLC did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on April 14, 2016.
Original Filing: 300791523.xml
4th Quarter, 2015
In Q4, John Duncan and Associates, LLC did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on Jan. 19, 2016.
Original Filing: 300775664.xml
3rd Quarter, 2015
In Q3, John Duncan and Associates, LLC did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on Oct. 19, 2015.
Original Filing: 300756474.xml
2nd Quarter, 2015
In Q2, John Duncan and Associates, LLC did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on July 15, 2015.
Original Filing: 300735178.xml
1st Quarter, 2015
In Q1, John Duncan and Associates, LLC did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on April 16, 2015.
Original Filing: 300717500.xml
4th Quarter, 2014
In Q4, John Duncan and Associates, LLC did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on Jan. 14, 2015.
Original Filing: 300695735.xml
3rd Quarter, 2014
In Q3, Mr. John M Duncan did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on Oct. 23, 2014.
Original Filing: 300689930.xml
2nd Quarter, 2014
In Q2, Mr. John M Duncan lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on July 18, 2014.
Original Filing: 300661572.xml
Lobbying Issues
Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-517) implementation with special attention to the regulatory treatment of money market funds and the Bureau of Consumer Financial Protection, the Office of Financial Research and the Commodities Futures Trading Commission (CFTC) as it pertains to HR 4413 -- specifically, the registration of fund companies.
Agencies Lobbied
U.S. House of Representatives
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2014
In Q1, Mr. John M Duncan did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on April 18, 2014.
Original Filing: 300641313.xml
4th Quarter, 2013
In Q4, Mr. John M Duncan did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on Jan. 20, 2014.
Original Filing: 300620897.xml
3rd Quarter, 2013
In Q3, Mr. John M Duncan did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on Oct. 18, 2013.
Original Filing: 300600528.xml
2nd Quarter, 2013
In Q2, Mr. John M Duncan did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on July 21, 2013.
Original Filing: 300580676.xml
1st Quarter, 2013
In Q1, Mr. John M Duncan did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on April 19, 2013.
Original Filing: 300555651.xml
4th Quarter, 2012
In Q4, Mr. John M Duncan did no lobbying for The Livingston Group (on behalf of the Investment Company Institute) . The report was filed on Jan. 18, 2013.
Original Filing: 300535063.xml
3rd Quarter, 2012
In Q3, Mr. John M Duncan lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Oct. 19, 2012.
Original Filing: 300512457.xml
Lobbying Issues
401K fee disclosure
Fiduciary duty requirements for target date funds
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
policy toward 401k -- contribution limits and fund consolidation
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-517) implementation with special attention to the regulatory treatment of money market funds and the Bureau of Consumer Financial Protection.
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2012
In Q2, Mr. John M Duncan lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on July 19, 2012.
Original Filing: 300492632.xml
Lobbying Issues
401K fee disclosure
Fiduciary duty requirements for target date funds
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
policy toward 401k -- contribution limits and fund consolidation
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-517) implementation with special attention to the regulatory treatment of money market funds and the Bureau of Consumer Financial Protection.
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2012
In Q1, Mr. John M Duncan lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on April 18, 2012.
Original Filing: 300464113.xml
Lobbying Issues
401K fee disclosure
Fiduciary duty requirements for target date funds
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
policy toward 401k -- contribution limits and fund consolidation
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-517) implementation with special attention to the regulatory treatment of money market funds and the Bureau of Consumer Financial Protection.
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2011
In Q4, Mr. John M Duncan lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Jan. 19, 2012.
Original Filing: 300442879.xml
Lobbying Issues
401K fee disclosure
Fiduciary duty requirements for target date funds
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
policy toward 401k -- contribution limits and fund consolidation
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-517) implementation with special attention to the regulatory treatment of money market funds and the Bureau of Consumer Financial Protection.
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2011
In Q3, Mr. John M Duncan lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Oct. 19, 2011.
Original Filing: 300420352.xml
Lobbying Issues
401K fee disclosure
Fiduciary duty requirements for target date funds
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
policy toward 401k -- contribution limits and fund consolidation
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Dodd-Frank Wall Street Reform and Consumer Protection Act (P.L. 111-517) implementation with special attention to the regulatory treatment of money market funds and the Bureau of Consumer Financial Protection.
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2011
In Q2, Mr. John M Duncan lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on July 19, 2011.
Original Filing: 300396523.xml
Lobbying Issues
401K fee disclosure
Fiduciary duty requirements for target date funds
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
policy toward 401k -- contribution limits and fund consolidation
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Dodd-Frank Wall Street Reform and Consumer Protection Act (HR 4173/S 3217, P.L. 111-517) implementation with special attention to the regulatory treatment of money market funds and the Bureau of Consumer Financial Protection.
Type of Issue
Financial Institutions/Investments/Securities
1st Quarter, 2011
In Q1, Mr. John M Duncan lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on April 20, 2011.
Original Filing: 300373231.xml
Lobbying Issues
401K fee disclosure
Fiduciary duty requirements for target date funds
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
policy toward 401k -- contribution limits and fund consolidation
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Dodd-Frank Wall Street Reform and Consumer Protection Act (HR 4173/S 3217, P.L. 111-517) implementation with special attention to the regulatory treatment of money market funds and the Bureau of Consumer Financial Protection.
Type of Issue
Financial Institutions/Investments/Securities
4th Quarter, 2010
In Q4, Mr. John M Duncan lobbied for The Livingston Group (on behalf of the Investment Company Institute) , earning $10,000. The report was filed on Jan. 19, 2011.
Original Filing: 300344312.xml
Lobbying Issues
401K fee disclosure (HR 1984)
Fiduciary duty requirements for target date funds
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
policy toward 401k -- contribution limits and fund consolidation
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Dodd-Frank Wall Street Reform and Consumer Protection Act (HR 4173/S 3217, P.L. 111-517) implementation with special attention to the regulatory treatment of money market funds and the Bureau of Consumer Financial Protection.
Type of Issue
Financial Institutions/Investments/Securities
3rd Quarter, 2010
In Q3, Mr. John M Duncan lobbied for Investment Company Institute , earning $10,000. The report was filed on Oct. 19, 2010.
Original Filing: 300321694.xml
Lobbying Issues
401K fee disclosure (HR 1984)
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
Type of Issue
Taxation/Internal Revenue Code
Lobbying Issues
Dodd-Frank Wall Street Reform and Consumer Protection Act (HR 4173/S 3217, P.L. 111-517) with special attention to the regulatory treatment of money market funds and the Bureau of Consumer Financial Protection.
Type of Issue
Financial Institutions/Investments/Securities
2nd Quarter, 2010
In Q2, Mr. John M Duncan lobbied for Investment Company Institute , earning $10,000. The report was filed on July 16, 2010.
Original Filing: 300289700.xml
Lobbying Issues
401K fee disclosure (HR 1984)
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
Congressional consideration of the Dodd-Frank Wall Street Reform and Consumer Protection Act (HR 4753 Conference base text) specifically, the
regulatory treatment of money market funds and the
"Financial Product Safety Commission" (HR 3126)
1st Quarter, 2010
In Q1, Mr. John M Duncan lobbied for Investment Company Institute , earning $10,000. The report was filed on April 16, 2010.
Original Filing: 300261275.xml
Lobbying Issues
401K fee disclosure (HR 1984)
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
The Obama Administrations's capital market reform regulatory reform proposal specifically, the
regulatory treatment of money market funds and the
"Financial Product Safety Commission" (HR 3126)
4th Quarter, 2009
In Q4, Mr. John M Duncan lobbied for Investment Company Institute , earning $10,000. The report was filed on Jan. 19, 2010.
Original Filing: 300235904.xml
Lobbying Issues
401K fee disclosure (HR 1984)
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
The Obama Administrations's capital market reform regulatory reform proposal specifically, the
regulatory treatment of money market funds and the
"Financial Product Safety Commission" (HR 3126)
3rd Quarter, 2009
In Q3, Mr. John M Duncan lobbied for Investment Company Institute , earning $10,000. The report was filed on Oct. 19, 2009.
Original Filing: 300212928.xml
Lobbying Issues
401K fee disclosure (HR 1984)
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
The Obama Administrations's capital market reform regulatory reform proposal specifically, the
regulatory treatment of money market funds and the
"Financial Product Safety Commission" (HR 3126)
3rd Quarter, 2009
In Q3, Mr. John M Duncan lobbied for Investment Company Institute , earning $10,000. The report was filed on Oct. 19, 2009.
Original Filing: 300212961.xml
Lobbying Issues
401K fee disclosure (HR 1984)
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
The Obama Administrations's capital market reform regulatory reform proposal specifically, the
regulatory treatment of money market funds and the
"Financial Product Safety Commission" (HR 3126)
2nd Quarter, 2009
In Q2, Mr. John M Duncan lobbied for Investment Company Institute , earning $10,000. The report was filed on July 17, 2009.
Original Filing: 300183655.xml
Lobbying Issues
401K fee disclosure (HR 1984)
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
The Obama Administrations's capital market reform regulatory reform proposal specifically, the
regulatory treatment of money market funds and the
"Financial Product Safety Commission" (HR 3126)
1st Quarter, 2009
In Q1, Mr. John M Duncan lobbied for Investment Company Institute , earning $10,000. The report was filed on April 16, 2009.
Original Filing: 300169733.xml
Type of Issue
Labor Issues/Antitrust/Workplace
Lobbying Issues
payroll deducted IRA
savers credit
Type of Issue
Financial Institutions/Investments/Securities
Lobbying Issues
capital market reform
regulatory treatment of money market funds
"Financial Product Safety Commission"
4th Quarter, 2008
In Q4, Mr. John M Duncan lobbied for Investment Company Institute , earning $10,000. The report was filed on Jan. 19, 2009.
Original Filing: 300127146.xml
Lobbying Issues
401K fee disclosure legislation
Type of Issue
Labor Issues/Antitrust/Workplace
3rd Quarter, 2008
In Q3, Mr. John M Duncan lobbied for Investment Company Institute , earning $10,000. The report was filed on Oct. 17, 2008.
Original Filing: 300098547.xml
Lobbying Issues
401K fee disclosure legislation
Type of Issue
Taxation/Internal Revenue Code
2nd Quarter, 2008
John Duncan and Associates, LLC filed a lobbying registration on Jan. 20, 2011 to represent The Livingston Group (on behalf of the Investment Company Institute), effective May 1, 2008.
Original Filing: 300355439.xml
Issue(s) they said they’d lobby about: (1) Fee issues
(2) Tax extenders
(3) Dodd / Frank Financial Regulatory Reform -- passage and implementation .
2nd Quarter, 2008
In Q2, Mr. John M Duncan lobbied for Investment Company Institute . The report was filed on July 20, 2008.
Original Filing: 300076228.xml
Lobbying Issues
401K fee disclosure legislation
Type of Issue
Taxation/Internal Revenue Code
Source: Clerk of the U.S. House of Representatives and Secretary of the Senate
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