3.0.0 1077 2022-02-03T05:30:00Z 2022-02-03T05:30:00Z House H HR 2005-03-03 109 ssbk00 Banking, Housing, and Urban Affairs Committee Senate Standing Referred to 2005-04-07T17:19:47Z hsba00 Financial Services Committee House Standing Referred to 2005-03-03T15:05:20Z Military Personnel Financial Services Protection Act 109 418 S 2006-09-29 Became Public Law No: 109-290. Related bill CRS 2005-04-07 ssbk00 Banking, Housing, and Urban Affairs Committee Senate Received in the Senate and Read twice and referred to the Committee on Banking, Housing, and Urban Affairs. IntroReferral 2005-04-06 12:38:11 Motion to reconsider laid on the table Agreed to without objection. Floor H38310 2 House floor actions 2005-04-06 12:38:08 On motion to suspend the rules and pass the bill, as amended Agreed to by voice vote. (text as amended: CR H1788-1789) Floor H37300 2 House floor actions 2005-04-06 12:38:08 Passed/agreed to in House: On motion to suspend the rules and pass the bill, as amended Agreed to by voice vote.(text as amended: CR H1788-1789) Floor 8000 9 Library of Congress 2005-04-06 12:28:30 DEBATE - The House proceeded with forty minutes of debate on H.R. 1077. Floor H8D000 2 House floor actions 2005-04-06 12:28:28 Considered under suspension of the rules. (consideration: CR H1788-1790) Floor H30000 2 House floor actions 2005-04-06 12:28:15 Mrs. Kelly moved to suspend the rules and pass the bill, as amended. Floor H30300 2 House floor actions 2005-03-03 Referred to the House Committee on Financial Services. IntroReferral H11100 2 House floor actions hsba00 Financial Services Committee 2005-03-03 Introduced in House IntroReferral Intro-H 9 Library of Congress 2005-03-03 Introduced in House IntroReferral 1000 9 Library of Congress S000275 Rep. Shadegg, John B. [R-AZ-3] JOHN SHADEGG R AZ 3 N R000566 Rep. Ryun, Jim [R-KS-2] JIM RYUN R KS 2 2005-03-03 True Finance and Financial Sector Brokers Civil actions and liability Commerce Consumer education Data banks Electronic data interchange Fines (Penalties) Government Operations and Politics Government paperwork Grievance procedures Information disclosure (Securities law) Investment advisers Investors Labor and Employment Law Liability (Law) Professional ethics Science, Technology, Communications Securities regulation Stock exchanges Telephone User charges Finance and Financial Sector 00 2005-03-03 Introduced in House 2005-03-29T17:33:28Z Realtime Investor Protection Act - Amends the Securities Exchange Act of 1934 to require a registered securities association to: (1) establish and maintain a registration information system on its members and their associated persons; and (2) establish and maintain a toll-free telephone listing, and a readily accessible electronic or other process, to receive and promptly respond to inquiries regarding that information. (Currently such an association is required to maintain a toll-free telephone listing to receive inquiries regarding disciplinary actions involving its members and their associated persons.)

Amends the Investment Advisers Act of 1940 to authorize the Securities and Exchange Commission (SEC) to require an investment adviser to: (1) file with the SEC any fee, application, report, or notice required to be filed through any entity designated by the SEC for that purpose; and (2) pay the reasonable costs associated with such filing and the establishment and maintenance of the telephone and electronic systems required by this Act.

Directs the SEC to require the designated entity to establish and maintain a toll-free telephone listing, and a readily accessible electronic or other process, to receive and promptly respond to inquiries regarding registration information (including disciplinary actions, regulatory, judicial, and arbitration proceedings, involving investment advisers and persons associated with investment advisers).

]]> 36 2005-04-06 Passed House amended 2005-04-14T21:26:32Z Realtime Investor Protection Act - Amends the Securities Exchange Act of 1934 to require a registered securities association to: (1) establish and maintain a registration information system on its members and their associated persons; and (2) establish and maintain a toll-free telephone listing, and a readily accessible electronic or other process, to receive and promptly respond to inquiries regarding that information. (Currently such an association is required to maintain a toll-free telephone listing to receive inquiries regarding disciplinary actions involving its members and their associated persons.)

Amends the Investment Advisers Act of 1940 to authorize the Securities and Exchange Commission (SEC) to require an investment adviser to: (1) file with the SEC any fee, application, report, or notice required to be filed through any entity designated by the SEC for that purpose; and (2) pay the reasonable costs associated with such filing and the establishment and maintenance of the telephone and electronic systems required by this Act.

Directs the SEC to require the designated entity to establish and maintain a toll-free telephone listing, and a readily accessible electronic or other process, to receive and promptly respond to inquiries regarding registration information (including disciplinary actions, regulatory, judicial, and arbitration proceedings, involving investment advisers and persons associated with investment advisers).

Requires that such information to include information on an investment adviser (and the persons associated with that adviser) whether the investment adviser is registered with the Commission or regulated solely by a State.

]]> Realtime Investor Protection Act Short Titles as Introduced Realtime Investor Protection Act Short Titles as Passed House Realtime Investor Protection Act H House Official Title as Introduced To improve the access of investors to regulatory records with respect to securities brokers, dealers, and investment advisers. Display Title Realtime Investor Protection Act Referred in Senate 2005-04-07T04:00:00Z Engrossed in House 2005-04-06T04:00:00Z Introduced in House 2005-03-03T05:00:00Z https://www.govinfo.gov/content/pkg/BILLS-109hr1077ih/xml/BILLS-109hr1077ih.xml 2005-04-07 Received in the Senate and Read twice and referred to the Committee on Banking, Housing, and Urban Affairs. text/xml EN Pursuant to Title 17 Section 105 of the United States Code, this file is not subject to copyright protection and is in the public domain. Congressional Research Service, Library of Congress This file contains bill summaries and statuses for federal legislation. A bill summary describes the most significant provisions of a piece of legislation and details the effects the legislative text may have on current law and federal programs. Bill summaries are authored by the Congressional Research Service (CRS) of the Library of Congress. As stated in Public Law 91-510 (2 USC 166 (d)(6)), one of the duties of CRS is "to prepare summaries and digests of bills and resolutions of a public general nature introduced in the Senate or House of Representatives". For more information, refer to the User Guide that accompanies this file.