3.0.0 3717 2023-03-22T18:07:28Z 2023-03-22T18:07:28Z Senate S S 2010-08-05 111 ssju00 Judiciary Committee Senate Standing Reported by 2010-09-16T16:33:22Z Markup by 2010-09-16T15:32:04Z Referred to 2010-08-05T17:37:22Z To amend the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 to provide for certain disclosures under section 552 of title 5, United States Code, (commonly referred to as the Freedom of Information Act), and for other purposes. 111 6086 HR 2010-08-10 Referred to House Oversight and Government Reform Identical bill CRS 2010-10-05 Became Public Law No: 111-257. President E40000 2 House floor actions 2010-10-05 Became Public Law No: 111-257. BecameLaw 36000 9 Library of Congress 2010-10-05 Signed by President. President E30000 2 House floor actions 2010-10-05 Signed by President. BecameLaw 36000 9 Library of Congress 2010-09-24 Presented to President. Floor E20000 2 House floor actions 2010-09-24 Presented to President. President 28000 9 Library of Congress 2010-09-23 Cleared for White House. 2010-09-23 17:21:32 Motion to reconsider laid on the table Agreed to without objection. Floor H38310 2 House floor actions 2010-09-23 17:21:29 On motion to suspend the rules and pass the bill Agreed to by voice vote. (text: CR H6952) Floor H37300 2 House floor actions 2010-09-23 17:21:29 Passed/agreed to in House: On motion to suspend the rules and pass the bill Agreed to by voice vote.(text: CR H6952) Floor 8000 9 Library of Congress 2010-09-23 16:57:30 DEBATE - The House proceeded with forty minutes of debate on S. 3717. Floor H8D000 2 House floor actions 2010-09-23 16:57:13 Considered under suspension of the rules. (consideration: CR H6952-6955) Floor H30000 2 House floor actions 2010-09-23 16:57:03 Mr. Frank (MA) moved to suspend the rules and pass the bill. Floor H30300 2 House floor actions 2010-09-22 15:30:07 Held at the desk. Floor H15000 2 House floor actions 2010-09-22 14:05:50 Received in the House. Floor H14000 2 House floor actions 2010-09-22 Senate Message on Senate action sent to the House. Floor 2010-09-21 Senate Passed Senate without amendment by Unanimous Consent. (consideration: CR S7298-7299; text as passed Senate: CR S7299) Floor 2010-09-21 Passed/agreed to in Senate: Passed Senate without amendment by Unanimous Consent.(consideration: CR S7298-7299; text as passed Senate: CR S7299) Floor 17000 9 Library of Congress 2010-09-16 Senate Placed on Senate Legislative Calendar under General Orders. Calendar No. 567. Calendars 2010-09-16 ssju00 Judiciary Committee Senate Committee on the Judiciary. Reported by Senator Leahy without amendment. Without written report. Committee 2010-09-16 Committee on the Judiciary. Reported by Senator Leahy without amendment. Without written report. Committee 14000 9 Library of Congress ssju00 Judiciary Committee 2010-09-16 ssju00 Judiciary Committee Senate Committee on the Judiciary. Ordered to be reported without amendment favorably. Committee 2010-08-05 ssju00 Judiciary Committee Senate Read twice and referred to the Committee on the Judiciary. (text of measure as introduced: CR S6889) IntroReferral 2010-08-05 Sponsor introductory remarks on measure. (CR S6889, S6889-6890) IntroReferral B00100 9 Library of Congress 2010-08-05 Introduced in Senate IntroReferral 10000 9 Library of Congress L000174 Sen. Leahy, Patrick J. [D-VT] Patrick Leahy D VT N G000386 Sen. Grassley, Chuck [R-IA] Charles Grassley R IA E. 2010-08-05 True C001056 Sen. Cornyn, John [R-TX] John Cornyn R TX 2010-08-05 True K000373 Sen. Kaufman, Edward E. [D-DE] Edward Kaufman D DE E. 2010-08-05 True Public Law 111-257 Finance and Financial Sector Business records Financial services and investments Freedom of information Government information and archives Securities Finance and Financial Sector 00 2010-08-05 Introduced in Senate 2010-09-23T16:18:41Z Amends the Securities Exchange Act of 1934 to repeal the prohibition of the Dodd-Frank Wall Street Reform and Consumer Protection Act against compelling the Securities and Exchange Commission (SEC) to disclose records or information obtained from registered persons pursuant to its regulatory or oversight activities.

Declares that for purposes of the Freedom of Information Act (FOIA): (1) the SEC is an agency responsible for the regulation or supervision of financial institutions; and (2) any entity for which the SEC is the responsible regulator, supervisor, or examiner under such Act is a financial institution. (Thus retains the general exemption from FOIA of matters contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of the SEC and any other agency responsible for the regulation or supervision of financial institutions.)

Amends the Investment Company Act and the Investment Advisers Act to repeal similar prohibitions against compelling the SEC to disclose records or information provided to it by a registered investment company or investment adviser, or an underwriter, broker, dealer, or investment adviser that is a majority-owned subsidiary of such a company, for SEC use in furtherance of certain purposes, including surveillance, risk assessments, or other regulatory and oversight activities.

]]> 80 2010-08-05 Reported to Senate without amendment 2020-02-24T13:25:55Z (This measure has not been amended since it was introduced. The summary of that version is repeated here.)

Amends the Securities Exchange Act of 1934 to repeal the prohibition of the Dodd-Frank Wall Street Reform and Consumer Protection Act against compelling the Securities and Exchange Commission (SEC) to disclose records or information obtained from registered persons pursuant to its regulatory or oversight activities.

Declares that for purposes of the Freedom of Information Act (FOIA): (1) the SEC is an agency responsible for the regulation or supervision of financial institutions; and (2) any entity for which the SEC is the responsible regulator, supervisor, or examiner under such Act is a financial institution. (Thus retains the general exemption from FOIA of matters contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of the SEC and any other agency responsible for the regulation or supervision of financial institutions.)

Amends the Investment Company Act and the Investment Advisers Act to repeal similar prohibitions against compelling the SEC to disclose records or information provided to it by a registered investment company or investment adviser, or an underwriter, broker, dealer, or investment adviser that is a majority-owned subsidiary of such a company, for SEC use in furtherance of certain purposes, including surveillance, risk assessments, or other regulatory and oversight activities.

]]> 82 2010-09-21 Passed Senate without amendment 2010-10-01T21:28:08Z (This measure has not been amended since it was introduced. The summary of that version is repeated here.)

Amends the Securities Exchange Act of 1934 to repeal the prohibition of the Dodd-Frank Wall Street Reform and Consumer Protection Act against compelling the Securities and Exchange Commission (SEC) to disclose records or information obtained from registered persons pursuant to its regulatory or oversight activities.

Declares that for purposes of the Freedom of Information Act (FOIA): (1) the SEC is an agency responsible for the regulation or supervision of financial institutions; and (2) any entity for which the SEC is the responsible regulator, supervisor, or examiner under such Act is a financial institution. (Thus retains the general exemption from FOIA of matters contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of the SEC and any other agency responsible for the regulation or supervision of financial institutions.)

Amends the Investment Company Act and the Investment Advisers Act to repeal similar prohibitions against compelling the SEC to disclose records or information provided to it by a registered investment company or investment adviser, or an underwriter, broker, dealer, or investment adviser that is a majority-owned subsidiary of such a company, for SEC use in furtherance of certain purposes, including surveillance, risk assessments, or other regulatory and oversight activities.

]]> 81 2010-09-23 Passed House without amendment 2010-10-01T21:27:42Z (This measure has not been amended since it was introduced. The summary of that version is repeated here.)

Amends the Securities Exchange Act of 1934 to repeal the prohibition of the Dodd-Frank Wall Street Reform and Consumer Protection Act against compelling the Securities and Exchange Commission (SEC) to disclose records or information obtained from registered persons pursuant to its regulatory or oversight activities.

Declares that for purposes of the Freedom of Information Act (FOIA): (1) the SEC is an agency responsible for the regulation or supervision of financial institutions; and (2) any entity for which the SEC is the responsible regulator, supervisor, or examiner under such Act is a financial institution. (Thus retains the general exemption from FOIA of matters contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of the SEC and any other agency responsible for the regulation or supervision of financial institutions.)

Amends the Investment Company Act and the Investment Advisers Act to repeal similar prohibitions against compelling the SEC to disclose records or information provided to it by a registered investment company or investment adviser, or an underwriter, broker, dealer, or investment adviser that is a majority-owned subsidiary of such a company, for SEC use in furtherance of certain purposes, including surveillance, risk assessments, or other regulatory and oversight activities.

]]> 49 2010-10-05 Public Law 2010-12-14T20:56:07Z (This measure has not been amended since it was introduced. The summary of that version is repeated here.)

Amends the Securities Exchange Act of 1934 to repeal the prohibition of the Dodd-Frank Wall Street Reform and Consumer Protection Act against compelling the Securities and Exchange Commission (SEC) to disclose records or information obtained from registered persons pursuant to its regulatory or oversight activities.

Declares that for purposes of the Freedom of Information Act (FOIA): (1) the SEC is an agency responsible for the regulation or supervision of financial institutions; and (2) any entity for which the SEC is the responsible regulator, supervisor, or examiner under such Act is a financial institution. (Thus retains the general exemption from FOIA of matters contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of the SEC and any other agency responsible for the regulation or supervision of financial institutions.)

Amends the Investment Company Act and the Investment Advisers Act to repeal similar prohibitions against compelling the SEC to disclose records or information provided to it by a registered investment company or investment adviser, or an underwriter, broker, dealer, or investment adviser that is a majority-owned subsidiary of such a company, for SEC use in furtherance of certain purposes, including surveillance, risk assessments, or other regulatory and oversight activities.

]]> A bill to amend the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 to provide for certain disclosures under section 552 of title 5, United States Code, (commonly referred to as the Freedom of Information Act), and for other purposes. Display Title A bill to amend the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 to provide for certain disclosures under section 552 of title 5, United States Code, (commonly referred to as the Freedom of Information Act), and for other purposes. Official Title as Introduced A bill to amend the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 to provide for certain disclosures under section 552 of title 5, United States Code, (commonly referred to as the Freedom of Information Act), and for other purposes. Introduced in Senate IS Enrolled Bill https://www.govinfo.gov/content/pkg/BILLS-111s3717enr/xml/BILLS-111s3717enr.xml Engrossed in Senate 2010-09-21T04:00:00Z https://www.govinfo.gov/content/pkg/BILLS-111s3717es/xml/BILLS-111s3717es.xml Reported to Senate 2010-09-16T04:00:00Z https://www.govinfo.gov/content/pkg/BILLS-111s3717rs/xml/BILLS-111s3717rs.xml Introduced in Senate 2010-08-05T04:00:00Z https://www.govinfo.gov/content/pkg/BILLS-111s3717is/xml/BILLS-111s3717is.xml 2010-10-06T03:59:59Z https://www.govinfo.gov/content/pkg/PLAW-111publ257/xml/PLAW-111publ257.xml Public Law 2010-10-05 Became Public Law No: 111-257. 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.