SECURITIES AND EXCHANGE COMMISSION

Bills and resolutions

Appropriations: authorizing (see H.R. 1262), H1391 [9AP]

Business and industry: require employers which are terminating businesses to offer employee stock ownership plans (see H.R. 1946), H3865 [17JN]

ERISA: clarify treatment of investment managers (see S. 1227; H.R. 2226), S10055 [26SE], H5664 [23JY]

Financial institutions: require Federal banking agencies to notify Congress prior to implementation of new accounting standards for derivatives (see S. 1560), S12575 [13NO]

National Securities Markets Improvement Act: extend effective date of regulations relative to investment advisers (see S. 410), S2021 [6MR]

Office of National Security: establish (see S. 1315; H.R. 2772), S11192 [24OC], H9729 [29OC]

Public utilities: revision of the regulatory policies governing public utility holding companies (see S. 621), S3419 [22AP]

Securities: create uniform standards relative to federally-regulated securities (see H.R. 1653), H2874 [16MY]

———limit the conduct of securities class actions under State law (see S. 1260; H.R. 1689), S10474 [7OC], H3169 [21MY]

———quotation of securities transactions in decimals (see S. 838; H.R. 1053), S5341 [5JN], H1016 [13MR]

Cost Estimates

National Securities Markets Improvement Act (S. 410): CBO, E613 [9AP]

Letters

Clarify ERISA treatment of investment managers: Arthur Levitt, SEC, S10300 [1OC]

ERISA treatment of investment managers: Arthur Levitt, SEC, E1481 [23JY]

Extend effective date of National Securities Markets Improvement Act regulations relative to investment advisers, S2023 [6MR]

Fraud detection and disclosure obligations on auditors of public companies: Arthur Levitt, SEC, S1412 [13FE]

———Senator Wyden, S1412 [13FE]

SEC regulations relative to investment advisers: Arthur Levitt, SEC, E516 [19MR]

———Judy Lau, Institute of Certified Financial Planners, E516 [19MR]

———Scott Harshbarger, Attorney General of Massachusetts, H1070 [18MR]

Memorandums

SEC Regulations Relative to Investment Advisers: William F. Galvin, Sec. of the Commonwealth of Massachusetts, H1070 [18MR]

Remarks in House

Appropriations: authorizing (H.R. 1262), H8084-H8086 [29SE], H8297 [1OC]

Business and industry: require employers which are terminating businesses to offer employee stock ownership plans (H.R. 1946), E1240 [17JN]

ERISA: clarify treatment of investment managers (H.R. 2226), E1481 [23JY]

———clarify treatment of investment managers (S. 1227), H9575, H9576 [28OC]

National Securities Markets Improvement Act: extend effective date of regulations relative to investment advisers (S. 410), H1069-H1071 [18MR], E515 [19MR], E613 [9AP]

Securities: allow certain legal actions by U.S. investors against Lloyd's of London insurance syndicates, E1607 [1AU]

———limit the conduct of securities class actions under State law (H.R. 1689), E1007 [21MY]

———quotation of securities transactions in decimals (H.R. 1053), E471, E474 [13MR]

Remarks in Senate

Carey, Paul R.: nomination to the SEC, S10906 [21OC]

ERISA: clarify treatment of investment managers (S. 1227), S10026 [26SE], S10300 [1OC]

Financial institutions: require Federal banking agencies to notify Congress prior to implementation of new accounting standards for derivatives (S. 1560), S12604 [13NO]

National Securities Markets Improvement Act: extend effective date of regulations relative to investment advisers (S. 410), S2023 [6MR], S2219, S2220 [12MR]

Office of National Security: establish (S. 1315), S11192 [24OC]

Presidential appointments: nominations considered and confirmed en bloc, S10905 [21OC]

Public utilities: revision of the regulatory policies governing public utility holding companies (S. 621), S3419-S3422 [22AP], S12078 [8NO]

———revision of the regulatory policies governing public utility holding companies (S. 621), unanimous-consent request, S11845 [6NO]

Securities: fraud prevention, S5086 [23MY]

———impose additional fraud detection and disclosure obligations on auditors of public companies, S1412 [13FE]

———limit the conduct of securities class actions under State law (S. 1260), S10475-S10477 [7OC], S10712 [8OC], S12078 [8NO]

———quotation of securities transactions in decimals (S. 838), S5352 [5JN]

Reports filed

Nomination of Laura S. Unger to the SEC: Committee on Banking, Housing, and Urban Affairs (Senate), S10626 [8OC]

Nomination of Paul R. Carey to the SEC: Committee on Banking, Housing, and Urban Affairs (Senate), S10626 [8OC]

Public Utility Holding Company Act: Committee on Banking, Housing, and Urban Affairs (Senate) (S. 621) (S. Rept. 105-41), S6727 [27JN]

SEC Appropriations: Committee on Commerce (House) (H.R. 1262) (H. Rept. 105-274), H8054 [26SE]

Texts of

H.R. 1262, SEC appropriations, H8085 [29SE]

S. 410, extend effective date of National Securities Markets Improvement Act regulations relative to investment advisers, S2023 [6MR]

S. 410, National Securities Markets Improvement Act effective date of regulations relative to investment advisers, S2220 [12MR], H1071 [18MR]

S. 621, Public Utility Holding Company Act, S3420 [22AP]

S. 1227, clarify treatment of investment managers under ERISA, S10026 [26SE]

S. 1227, ERISA clarification of treatment of investment managers, H9575 [28OC]

S. 1260, Securities Litigation Uniform Standards Act, S10475 [7OC]