SECURITIES related term(s) Investments

Amendments

Government securities market: operation (S. 422), S16967, S17020 [22NO], H10956 [22NO]

SEC: increase the number of examiners who oversee investment advisers and financial planners (S. 423), S16861 [20NO]

Securities: operation of the Government securities market (S. 422), S9863 [29JY]

Analyses

Congressional Activity on the Operation of the Government Securities Market (S. 422), H10967 [22NO]

Depository Institution Retail Investment Sales and Disclosure Act (H.R. 3306), H8325 [20OC]

Small Business Incentive Act (S. 479), S2229 [2MR]

Articles and editorials

Agreement Clears the Track for Growth of High-Speed Rail, S2092 [25FE]

Clinton Plan's Economic Drag Cited, S10549 [5AU]

Mutual Funds, the Next Great U.S. Export, S16492 [19NO]

Stocks Tumble, S1580 [16FE]

Bills and resolutions

Airlines, airports, and aeronautics: review of certain acquisitions of voting securities of air carriers (see H.R. 470), H114 [7JA]

Bankruptcy: distribution of securities (see H.R. 2058), H2427 [11MY]

Bonds: discrimination in surety bond transactions (see H.R. 1464), H1590 [24MR]

Business and industry: extension of the transition rule for certain publicly traded partnerships (see H.R. 3619), H10984 [22NO]

Contracts: performance bond and payment bond requirements (see H.R. 2660), H4756 [15JY]

Corporations: executive stock option compensation relative to corporate financial statements (see S. 259), S888 [28JA]

———limited partnership rollups (see S. 424), S1995 [24FE]

Crime: financial fraud detection and disclosure (see S. 630), S3479 [23MR]

Depository institutions: retail sale of nondeposit investment products (see H.R. 3306), H8202 [19OC]

Ecology and environment: limit liability of entities associated with certain property under certain environmental laws (see H.R. 2462), H3835 [18JN]

FDIC: approval for conversions of insured banks from mutual form to stock form (see H.R. 3615), H10984 [22NO]

Financial institutions: claiming of certain distributions of unknown or unreachable owners (see S. 1715; H.R. 2443), S16432 [19NO], H3782 [17JN]

———fair trade in financial services (see S. 1527; H.R. 3248), S13262 [7OC], H7670 [7OC]

———truth in disclosure for financial intermediaries (see H.R. 2075), H2427 [11MY]

———underwriting of municipal revenue bonds by national banks (see H.R. 1574), H1811 [31MR]

Government regulations: recovery of supervision and regulation costs of investment adviser activities (see H.R. 578), H257 [26JA]

———rulemaking authority relative to Government securities (see H.R. 618), H258 [26JA]

Government securities market: operation (see S. 422), S1995 [24FE]

Income: valuation of certain stock paid to employees (see H.R. 3033), H6594 [9SE]

Insurance: establish regulatory policies to maintain solvency (see S. 1619), S15089 [4NO]

Investments: disclosure requirements for municipal securities and certain political contributions (see H.R. 2464), H3835 [18JN]

———protection of investors in limited partnerships in rollup transactions (see H.R. 617), H258 [26JA]

———regulations for hold-in-custody repurchase transactions in Government securities (see H.R. 547), H179 [21JA]

———use of investment discretion by national securities exchange members to effect certain transactions (see H.R. 616), H258 [26JA]

Law enforcement: reform private enforcement of Federal securities laws (see H.R. 417), H111 [6JA]

Laws: regulation of industry (see H.R. 3447), H8874 [4NO]

Markets and Trading Commission: establish (see H.R. 2550), H4277 [29JN]

National Commission on Financial Services: establish (see S. 1744), S16718 [20NO]

Native Americans: interest payments and management of Indian trust funds (see H.R. 1846), H2024 [22AP]

Postal Savings System: filing of claims for certificates of deposit (see H.R. 1171), H962 [2MR]

Real property: secondary market for commercial mortgages (see S. 1728), S16433 [19NO]

Roads and highways: bond financing for infrastructure improvement projects (see H.R. 3489), H9564 [10NO]

Savings and loan associations: bailout (see H.R. 1676), H1880 [2AP]

SEC: increase the number of examiners who oversee investment advisers and financial planners (see S. 423), S1995 [24FE]

Securities and Exchange Act: unlisted trading privileges for corporate securities (see H.R. 2515), H4079 [24JN]

Small business: capital formation through investment pools (see S. 479), S2209 [2MR]

———payment and prepayment of debentures issued by State and local development companies (see H.R. 2130), H2493 [17MY]

Surety bonds: requirements (see S. 1259), S9061 [20JY]

Taxation: allow corporations to issue performance stock options to employees (see S. 1175; H.R. 2759), S8233 [29JN], H5361 [27JY]

———capital gains (see S. 288, 363, 368; H.R. 53, 151, 253, 777, 902, 1636), S1147 [3FE], S1592 [16FE], H84 [5JA], H104, H106 [6JA], H482 [3FE], H639 [16FE], H1857 [1AP]

———capital gains exclusion relative to eminent domain conversions (see H.R. 142), H104 [6JA]

———capital gains relative to senior citizens (see H.R. 854), H588 [4FE]

———capital gains treatment of employee stock ownership program investments in Federal enterprise zone businesses (see H.R. 1949), H2182 [29AP]

———employee stock ownership plans (see H.R. 2088), H2461 [12MY]

———exemption from the volume cap on certain bonds used to finance high-speed intercity rail facilities (see H.R. 928), H680 [17FE]

———extend issuance of first-time farmer bonds (see S. 599), S3042 [17MR]

———extend mortgage revenue bond program (see H.R. 462), H113 [7JA]

———facilitate creation of financial asset securitization investment trusts (see H.R. 2065), H2427 [11MY]

———Federal taxes on State and local government bonds (see H. Res. 14), H88 [5JA]

———foreign tax credit (see H.R. 1375), H1291 [16MR]

———gifts of publicly traded stock to private foundations (see H.R. 2418), H3592 [15JN]

———gratuitous transfers of employer securities (see S. 948), S5923 [13MY]

———increase the amount of bonds eligible for financial institution purchase under small issuer exception (see H.R. 2171), H2596 [19MY]

———issuance of mortgage revenue bonds to finance the sale of certain newly constructed 2-family residences (see H.R. 1913), H2127 [28AP]

———issuance of zero-coupon municipal bonds relative to early redemption (see H.R. 2102), H2462 [12MY]

———limitation on the deductibility of capital losses (see H.R. 668), H309 [27JA]

———mortgage revenue bonds (see H.R. 683), H309 [27JA]

———reinstate tax on interest received by foreigners on certain portfolio investments (see H.R. 220), H106 [6JA]

———repeal special $15,000,000 limitation on the amount of a tax-exempt bond issue which may be used to provide an output facility (see H.R. 1938), H2182 [29AP]

———small issue bonds (see S. 945; H.R. 360, 2111), S5814 [12MY], H110 [6JA], H2462 [12MY]

———treat spaceports like airports under exempt facility bond rules (see H.R. 2740), H5107 [26JY]

———treatment of employer securities (see H.R. 1807), H2022 [22AP]

———treatment of equipment used to manufacture or develop advanced materials and technologies, reduction of capital gains taxes, and treatment of foreign and foreign controlled corporations (see H.R. 461), H113 [7JA]

———treatment of foreign corporation shareholders' gross income (see H.R. 1374), H1291 [16MR]

———treatment of foreign investment in U.S. mutual funds (see S. 1733), S16433 [19NO]

———treatment of high-speed rail facility bonds (see S. 438), S2089 [25FE]

———treatment of nonprofit organizations' bond issues as similar to governmental bonds (see H.R. 2022), H2341 [6MY]

———treatment of qualified small issue bonds (see S. 348, 719; H.R. 827), S1384 [4FE], S4253 [1AP], H587 [4FE]

———treatment of spaceports like airports under the exempt facility bond rules (see S. 1688), S16432 [19NO]

———treatment of tax-exempt bonds (see H.R. 3630), H10984 [22NO]

Descriptions

Enterprise Capital Formation Act (S. 368), S1609-S1611 [16FE]

Spaceport Financing Act (S. 1688), S16436 [19NO]

Letters

Government Securities Reform Act: Arthur Levitt, SEC, H7397 [5OC]

———Representative Dingell, Committee on Energy and Commerce (House), H7395, H7396 [5OC]

———Representative Gonzalez, Committee on Banking, Finance and Urban Affairs (House), H7395, H7397 [5OC]

———Representative Rostenkowski, Committee on Ways and Means (House), H7395 [5OC]

Operation of the Government securities market: Frank N. Newman, Dept. of the Treasury, S17025 [22NO]

Messages

Federal Prevailing Rate Advisory Committee: President Clinton, S13907 [19OC], H8183 [19OC]

Motions

Government securities market: operation (S. 422), H7405 [5OC]

Remarks in House

Budget: reconciliation of the concurrent resolution (H.R. 2264), H2939 [27MY]

Depository institutions: retail sale of nondeposit investment products (H.R. 3306), H8325 [20OC]

Financial institutions: claiming of certain distributions of unknown or unreachable owners (H.R. 2443), H3776 [17JN]

———derivative products activities of commercial banks, H3822-H3825 [18JN]

Government regulations: recovery of supervision and regulation costs of investment adviser activities (H.R. 578), H2215-H2220 [4MY]

———rulemaking authority relative to Government securities (H.R. 618), H229 [26JA], H7390-H7399 [5OC], H10967 [22NO]

Government securities market: operation (S. 422), H7403 [5OC], H10956-H10969 [22NO]

———operation (S. 422), insert language of H.R. 618 in lieu, H7405 [5OC]

Investments: protection of investors in limited partnerships in rollup transactions (H.R. 617), H229 [26JA], H942-H948 [2MR]

———use of investment discretion by national securities exchange members to effect certain transactions (H.R. 616), H229 [26JA], H2220, H2221 [4MY]

Postage and stamps: issuance of commemorative postage stamp to honor the New York Stock Exchange, H1947 [21AP]

Stock market: impact of President's economic plan, H2939 [27MY]

Taxation: capital gains (H.R. 1636), H1912 [20AP]

———facilitate creation of financial asset securitization investment trusts (H.R. 2065), H2433 [12MY]

———mortgage revenue bonds (H.R. 683), H297 [27JA]

Remarks in Senate

Corporations: executive stock option compensation relative to corporate financial statements (S. 259), S914 [28JA]

———limited partnership rollups (S. 424), S2011-S2019 [24FE], S10819, S10821, S10822 [6AU]

Courts: revise and extend private litigation system, S16662-S16664 [20NO]

Crime: financial fraud detection and disclosure (S. 630), S3485 [23MR]

Financial institutions: claiming of certain distributions of unknown or unreachable owners (S. 1715), S16463 [19NO], S16847 [20NO]

———fair trade in financial services (S. 1527), S13273-S13278 [7OC]

Government securities market: operation (S. 422), S2011-S2018 [24FE], S9863, S9864 [29JY], S17019-S17029 [22NO]

———operation (S. 422), star print of S. Rept. 103-109, S10268 [3AU]

Housing: tax incentives for pension funds to invest in low-income housing development, S12201 [22SE], S12558 [27SE]

Insurance: establish regulatory policies to maintain solvency (S. 1619), S15101 [4NO]

Investments: use of investment discretion by national securities exchange members to effect certain transactions (H.R. 616), S9866 [29JY]

———use of investment discretion by national securities exchange members to effect certain transactions (H.R. 616), placed on calendar, S5675 [6MY]

Levitt, Arthur, Jr.: nomination to be Chairman of the SEC, S9491, S9492, S9493, S9494 [27JY]

National Commission on Financial Services: establish (S. 1744), S16752 [20NO]

Real property: secondary market for commercial mortgages (S. 1728), S16485, S16488 [19NO]

SEC: funding, S9818 [29JY]

———increase the number of examiners who oversee investment advisers and financial planners (S. 423), S2011-S2018 [24FE], S16848, S16861, S16862 [20NO]

Small business: capital formation through investment pools (S. 479), S2227-S2231 [2MR], S14863-S14865 [2NO]

Surety bonds: requirements (S. 1259), S9062 [20JY]

Taxation: allow corporations to issue performance stock options to employees (S. 1175), S8247-S8253 [29JN], S15950-S15952 [17NO]

———capital gains (S. 288), S1175 [3FE]

———capital gains (S. 363), S1600 [16FE]

———capital gains (S. 368), S1604-S1611 [16FE]

———extend issuance of first-time farmer bonds (S. 599), S3046, S3047 [17MR]

———tax-exempt bond financing for high-speed ground rail systems, S7939 [24JN]

———treatment of foreign investment in U.S. mutual funds (S. 1733), S16490, S16491 [19NO]

———treatment of high-speed rail facility bonds (S. 438), S2091, S2169 [25FE]

———treatment of qualified small issue bonds, S7976, S7977 [24JN]

———treatment of qualified small issue bonds (S. 348), S1465, S1466 [4FE], S6968 [8JN]

———treatment of qualified small issue bonds (S. 719), S4283 [1AP]

———treatment of spaceports like airports under the exempt facility bond rules (S. 1688), S16436 [19NO]

Reports filed

Investment Adviser Oversight Act: Committee on Banking, Housing, and Urban Affairs (Senate) (S. 423) (S. Rept. 103-177), S15600 [10NO]

Limited Partnership Rollup Reform Act: Committee on Banking, Housing, and Urban Affairs (Senate) (S. 424) (S. Rept. 103-121), S10232 [3AU]

Operation of the Government Securities Market: Committee on Banking, Housing, and Urban Affairs (Senate) (S. 422) (S. Rept. 103-109), S9541 [27JY]

Protection of Investors in Limited Partnerships in Rollup Transactions: Committee on Energy and Commerce (House) (H.R. 617) (H. Rept. 103-21), H901 [25FE]

Recovery of Supervision and Regulation Costs of Investment Adviser Activities: Committee on Energy and Commerce (House) (H.R. 578) (H. Rept. 103-75), H2181 [29AP]

Rulemaking Authority Relative to Government Securities: Committee on Energy and Commerce (House) (H.R. 618) (H. Rept. 103-255), H6980 [23SE]

Securities Exchange Act: Committee on Appropriations (Senate) (H.R. 2515) (S. Rept. 103-105), S9289 [22JY]

Small Business Incentive Act: Committee on Banking, Housing, and Urban Affairs (Senate) (S. 479) (S. Rept. 103-166), S14381 [26OC]

Use of Investment Discretion by National Securities Exchange Members To Effect Certain Transactions: Committee on Energy and Commerce (House) (H.R. 616) (H. Rept. 103-76), H2181 [29AP]

Statements

Operation of the Government Securities Market (S. 422): Several Senators, S17024 [22NO]

Summaries

Commercial Mortgage Capital Availability Act (S. 1728), S16487 [19NO]

Congressional Activity on the Operation of the Government Securities Market (S. 422), H10967 [22NO]

Insurance Protection Act (S. 1619), S15102 [4NO]

Investment Adviser Oversight Act (S. 423), S2015 [24FE]

Limited Partnership Rollup Reform Act (S. 424), S2017 [24FE]

National Commission on Financial Services (S. 1744), S16754 [20NO]

Operation of the Government Securities Market (S. 422), S2014 [24FE]

Texts of

H.R. 616, use of investment discretion by national securities exchange members to effect certain transactions, H2220 [4MY]

H.R. 617, Limited Partnership Rollup Reform Act, H942-H944 [2MR]

H.R. 618, Government Securities Reform Act, H7390-H7394 [5OC]

S. 259, Corporate Executives' Stock Option Accountability Act, S915 [28JA]

S. 288, Capital Gains Tax Fairness Act, S1176 [3FE]

S. 348, tax treatment of qualified small issue bonds, S1465 [4FE]

S. 368, Enterprise Capital Formation Act, S1607-S1609 [16FE]

S. 422, operation of Government securities market, S9865 [29JY]

S. 422, operation of the Government securities market, S2013 [24FE], H7403-H7405 [5OC]

S. 423, Investment Adviser Oversight Act, S2014 [24FE], S17199 [24NO]

S. 424, Limited Partnership Rollup Reform Act, S2015-S2017 [24FE], S10819-S10821 [6AU]

S. 438, High-Speed Rail Incentives Act, S2092 [25FE]

S. 479, Small Business Incentive Act, S2228 [2MR], S14863 [2NO]

S. 599, extend issuance of first-time farmer bonds, S3046 [17MR]

S. 630, Financial Fraud Detection and Disclosure Act, S3486 [23MR]

S. 1175, Equity Expansion Act, S8250 [29JN]

S. 1259, Equal Surety Bond Opportunity Act, S9062, S9064 [20JY]

S. 1527, Fair Trade in Financial Services Act, S13275-S13278 [7OC]

S. 1728, Commercial Mortgage Capital Availability Act, S16486 [19NO]

S. 1733, Investment Competitiveness Act, S16490 [19NO]

S. 1744, National Commission on Financial Services, S16752 [20NO]