SECURITIES AND EXCHANGE COMMISSION

Amendments

Taxation: modify certain rules applicable to regulated investment companies (H.R. 4337), S8646 [8DE], H8412 [15DE]

Appointments

Conferees: H.R. 4173, Restoring American Financial Stability Act, S4170 [25MY]

———H.R. 4173, Wall Street Reform and Consumer Protection Act, H4300 [9JN]

Articles and editorials

Financial Panel Issues a Subpoena to Goldman Sachs, H4575 [16JN]

Goldman Sachs' Revolving Door, H3195-H3197 [5MY]

House of Representative's Reform Package Hurts the Fed's Independence, E34 [15JA]

Income for Life? Sounds Good, but Do Your Homework, S4029 [20MY]

Subprime Consumers Hit at Goldman, H4575 [16JN]

U.S. Consumers Rage Against Goldman Unit, H4574 [16JN]

Uncertainty Principle, S5817 [14JY]

Bills and resolutions

Business and industry: require public companies to report certain expenditures made to influence public opinion on any matter other than the promotion of the company's products or services (see H.R. 4432), H138 [13JA]

Climate: prohibit enforcement of a climate change interpretive guidance (see S. 3032), S742 [24FE] (see H.R. 4934), H2318 [24MR]

Coal: require publicly traded coal companies to include certain safety records in annual and quarterly filings (see S. 3450), S4529 [27MY]

Dept. of the Treasury: direct U.S. representatives to the IMF and World Bank to condition loans to Antigua and Barbuda on cooperation with efforts to provide redress to Stanford Financial Group fraud victims (see H. Res. 1129), H1027 [2MR]

Economy: provide financial regulatory reform, protect consumers and investors, enhance Federal understanding of insurance issues, and regulate over-the-counter derivatives (H.R. 4173), consideration of conference report (see H. Res. 1490), H5302 [30JN]

Financial services and general Government: making appropriations (see S. 3677), S6520 [29JY]

Foreign countries: take action against certain judgment-evading foreign states and state-owned corporations of such states (see H.R. 5564), H4676 [22JN]

Government regulations: modernize and strengthen investor protection (see S. 3258), S2642 [26AP]

Iran: require issuers to make disclosures relative to Iranian investments (see H.R. 5833), H5984 [22JY]

Political campaigns: require shareholder authorization before a public company may make certain political expenditures (see H.R. 4790), H1220 [9MR]

Securities: allow for private right of action against secondary violators that provide substantial assistance in aiding-and-abetting securities fraud (see H.R. 5042), H2640 [15AP]

Taxation: modify certain rules applicable to regulated investment companies (see S. 3948), S7968 [17NO]

Wall Street Reform and Consumer Protection Act: repeal section relative to protecting confidentiality of materials submitted to the SEC (see S. 3717), S6883 [5AU] (see H.R. 5924), H6402 (see H.R. 5924), H6454 (see H.R. 5948), H6403 (see H.R. 5948), H6455 (see H.R. 5970), H6404 (see H.R. 5970), H6456 [29JY] (see H.R. 6086), H6626 [10AU]

Cloture motions

Conference reports

Wall Street Reform and Consumer Protection Act (H.R. 4173), H4977-H5200 [29JN]

Letters

Clarify exemption for certain annuity contracts and insurance policies from Federal regulation: Barbara Roper, Consumer Federation of America and Mercer Bullard, Fund Democracy, Inc., S5919 [15JY]

———Daniel J. Barry, Financial Planning Association, S5919 [15JY]

———David P. Sloane, AARP, S4029 [20MY], S5917 [15JY]

———Denise Voigt Crawford, North American Securities Administrators Association, Inc., S5917, S5918 [15JY]

———Denise Voigt Crawford, North American Securities Administrators Association, Inc., and Barbara Roper, Consumer Federation of America, S5918 [15JY]

———National Association of Insurance Commissioners, S4030 [20MY]

Derivatives regulation legislation: Sheila C. Bair, FDIC, S3069 [4MY]

Exempt insurance company affiliates of depository institutions from proprietary trading restrictions: Daniel J. Keniry, Teachers Insurance and Annuity Association-College Retirement Equities Fund (TIAA-CREF) (organization), S4137 [24MY]

———H. Gene Overstreet, Non Commissioned Officers Association of the U.S.A., S4136 [24MY]

———John (Doc) McCauslin, Air Force Sergeants Association, S4137 [24MY]

———Nick Marine, Naval Enlisted Reserve Association, S4137 [24MY]

Investigation of fraudulent activities of Goldman Sachs Group, Inc.: several Representatives, H3002 [28AP]

Mandate minimum leverage and risk-based capital standards for certain financial institutions: Sheila C. Bair, FDIC, S3460 [10MY], S3617 [12MY]

Over-the-counter derivatives markets regulation and market transparency improvement: Coalition for Derivatives End-Users, S3597 [12MY]

———Jay Timmons, National Association of Manufacturers, S3596 [12MY]

———Paul A. Volcker, S3608 [12MY]

———several organizations, S3597 [12MY]

Prohibit proprietary trading and certain relationships with hedge funds and private equity funds and address conflicts of interest with respect to certain securitizations: John S. Reed, S2691 [27AP]

Protect identity of whistleblowers and ensure transparency and accountability in Government investigations of financial fraud: several consumer protection and government accountability organizations, S3975 [19MY]

Regulate over-the-counter derivatives markets and improve market transparency: Senator Dodd, Committee on Banking, Housing and Urban Affairs (Senate) and Senator Lincoln, Committee on Agriculture, Nutrition, and Forestry (Senate), H5248 [30JN]

Regulated Investment Company Modernization Act: Paul S. Stevens, Investment Company Institute, H7070 [28SE]

Repeal Wall Street Reform and Consumer Protection Act section relative to protecting confidentiality of materials submitted to the SEC: several organizations, S6889 [5AU]

Solicitor General's failure to file a brief requested by SEC in Stoneridge Investment Partners v. Scientific Atlanta: Senator Specter, Committee on the Judiciary (Senate), S3619 [12MY]

Wall Street Reform and Consumer Protection Act: Senators Lincoln and Dodd, S6192 [22JY]

Lists

Congressional staff who worked on H.R. 4173, Restoring American Financial Stability Act, S4140 [24MY]

Congressional staff who worked on H.R. 4173, Wall Street Reform and Consumer Protection Act, S5835 [14JY], H5255 [30JN]

Organizations supporting H.R. 4173, Wall Street Reform and Consumer Protection Act, S5834 [14JY]

Memorandums

Consumer Bureau vs. SEC/CFTC Powers: Representative Dennis Moore, H5217 [30JN]

Good Is Oft Interred With Their Bones: James D. MacPhee, Mike Menzies, and Sal Marranca, Independent Community Bankers of America (organization), S5832 [14JY]

Motions

Remarks in House

Business and industry: provide shareholders with an advisory vote on executive compensation and prevent perverse incentives in the compensation practices of financial institutions, H3257 [6MY]

Economy: clarify regulatory authority of SEC and CFTC over broker-dealers and investment advisors, H5216 [30JN]

———provide financial regulatory reform, protect consumers and investors, enhance Federal understanding of insurance issues, and regulate over-the-counter derivatives (H.R. 4173), consideration of conference report (H. Res. 1490), H5223-H5231 [30JN]

———provide financial regulatory reform, protect consumers and investors, enhance Federal understanding of insurance issues, and regulate the over-the-counter derivatives markets (H.R. 4173), H197 [20JA], H366, H367 [26JA], H389, H390 [27JA], H480 [3FE], H2678-H2684 [20AP], H2700, H2702, H2703, H2780 [21AP], H2805, H2806, H2836 [22AP], H2887, H2888, H2889, H2890, H2927-H2933 [27AP], H3003 [28AP], H3018 [29AP], H3083, H3106-H3108 [4MY], H3191-H3199 [5MY], H3252-H3262 [6MY], H3280, H3299, H3302 [11MY], H3315, H3317 [12MY], H3468, H3474 [13MY], H3548 [19MY], H3665 [20MY], H3755, H3756, H3804, H3809-H3814 [25MY], H3844-H3849 [26MY], H3874 [27MY], H4289 [9JN], H4440, H4442 [15JN], H4512 [16JN], H4680 [23JN], H4902 [28JN], E7 [12JA], E613 [21AP], E1230 [29JN]

———provide financial regulatory reform, protect consumers and investors, enhance Federal understanding of insurance issues, and regulate the over-the-counter derivatives markets (H.R. 4173), conference report, H4907, H4913, H4915, H4953-H4957, H4966 [29JN], H5206, H5207, H5208, H5209, H5212-H5220, H5233-H5261, H5281, H5282, H5294, H5295, H5297 [30JN], H5306 [1JY], H5601, H5602 [14JY], H5670 [15JY], H5805, H5812 [20JY], H5823, H5898 [21JY], H5925, H5961 [22JY], H6148 [27JY], E1237, E1257 [30JN], E1262, E1270, E1272, E1285 [1JY], E1294, E1295 [13JY], E1347-E1349, E1350 [15JY], E1383 [20JY], E1407 [22JY], E1429 [27JY], E1505 [30JY], E2144, E2146 [15DE]

———reform the financial regulatory system of the U.S., H176 [19JA], H335 [26JA], H2649, H2673 [20AP], H2700, H2701 [21AP], H2997-H3003 [28AP], H3105 [4MY], H3758 [25MY], H5603 [14JY], E7 [12JA]

———reform the financial regulatory system of the U.S. (H.R. 3310), H5227, H5240, H5258 [30JN]

———require CFTC and SEC to conduct rulemakings to eliminate conflicts of interest arising from control of clearing and trading facilities by swap entities, H5217 [30JN]

FBI: provide additional resources for Federal investigations and prosecutions of crimes related to the recent financial crisis (H.R. 3995), H2673 [20AP], H2822 [22AP], H3001 [28AP], H3198 [5MY]

Goldman Sachs Group, Inc.: SEC investigation of alleged fraudulent activities relative to sale of financial product tied to subprime mortgages, H2647 [20AP], H2803, H2804, H2822 [22AP], H2880 [27AP], H2939, H2997-H3003 [28AP], H3104, H3105 [4MY], H3195 [5MY], H4573 [16JN]

Securities: regulate over-the-counter derivatives markets and improve market transparency, H4957 [29JN], H5245, H5248 [30JN]

———review of regulations of investment advisers and broker-dealers, H5255 [30JN]

Securities Investor Protection Act: reform, H3177 [5MY]

Senate: tribute to congressional staff who worked on H.R. 4173, Wall Street Reform and Consumer Protection Act, H5255 [30JN]

Taxation: modify certain rules applicable to regulated investment companies (H.R. 4337), H7064-H7070 [28SE]

———modify certain rules applicable to regulated investment companies (H.R. 4337), Senate amendment, H8412-H8418 [15DE]

Wall Street Reform and Consumer Protection Act: repeal section relative to protecting confidentiality of materials submitted to the SEC (H.R. 6086), H6954 [23SE]

———repeal section relative to protecting confidentiality of materials submitted to the SEC (S. 3717), H6952-H6955 [23SE]

Remarks in Senate

American International Group, Inc. (AIG): business practices that precipitated Government bailout, S296 [28JA]

Appropriations: prohibit authority to set agency budget and collect fees from regulated companies, S3899 [18MY], S3974-S3977 [19MY]

Business and industry: require all foreign and domestic companies registered with the SEC to report annually on amounts paid to each country for access to oil, gas, and minerals, S3315 [6MY], S3815-S3818 [17MY], S4056 [20MY], S5872 [15JY]

———set standards for independence of compensation consultants, S4037 [20MY]

CFTC: provide authority to prevent the trading of futures and swap contracts that are contrary to the public interest, S5906, S5907 [15JY]

Coal: require publicly traded coal companies to include certain safety records in annual and quarterly filings (S. 3450), S4550 [27MY]

Corporations: impact of federalized corporate governance relative to improved proxy assests, S3131 [5MY]

Credit: set standards and exercise oversight of credit rating agency procedures, S3682 [13MY]

Economy: provide financial regulatory reform, protect consumers and investors, enhance Federal understanding of insurance issues, and regulate the over-the-counter derivatives markets (H.R. 4173), S2152, S2155-S2157 [26MR], S4110, S4139 [24MY], S4192, S4207, S4208 [25MY], S4404 [26MY], S4497-S4499, S4560 [27MY], S4839-S4841 [10JN], S4929-S4931 [15JN], S4967, S4973, S4977 [16JN], S5167 [21JN]

———provide financial regulatory reform, protect consumers and investors, enhance Federal understanding of insurance issues, and regulate the over-the-counter derivatives markets (H.R. 4173), conference report, S5656-S5661 [30JN], S5774, S5775 [13JY], S5801-S5803, S5807, S5811, S5814-S5822, S5825, S5828-S5835, S5840-S5842, S5844 [14JY], S5870-S5933, S5943-S5945 [15JY], S6040, S6041 [21JY], S6155 [22JY], S6241-S6243 [26JY], S6513 [29JY]

———reform the financial regulatory system of the U.S., S176 [25JA], S299, S319 [28JA], S388 [1FE], S473-S475 [4FE], S1220-S1222 [5MR], S1416-S1421 [11MR], S1609-S1611 [16MR], S1719-S1721 [18MR], S2152-S2155 [26MR], S2189 [12AP], S2216-S2218, S2222-S2224 [13AP], S2254, S2258-S2260, S2262-S2265 [14AP], S2414-S2416 [19AP], S7599-S7601 [28SE], S7744 [29SE], S8769-S8771 [10DE]

———regulation of U.S. financial markets, S6850 [5AU]

Federal agencies and departments: preserve independence of Inspectors General, S3875-S3877, S3882-S3884 [18MY]

Financial institutions: address concept of ``too big to fail'' through stricter limits on leverage and liabilities and through improved capital assessment and financial reporting, S2625 [26AP], S2997, S2998 [30AP], S3024-S3026 [3MY], S3080 [4MY], S3303, S3307-S3309, S3350, S3351 [6MY], S3888 [18MY]

———clarify treatment of U.S. branches and agencies of foreign banks relative to swap desk push out requirements, S5903 [15JY]

———create a financial stability council to oversee the financial regulatory activities of the Government, S3459-S3461 [10MY], S3953 [19MY]

———exempt insurance company affiliates of depository institutions from proprietary trading restrictions, S4136 [24MY]

———mandate minimum leverage and risk-based capital standards on certain financial institutions, S3459-S3461 [10MY], S3616 [12MY], S3710 [13MY], S3774 [14MY], S4192 [25MY], S4973 [16JN]

———prohibit naked credit default swaps, S2998 [30AP], S3079 [4MY], S3874, S3877-S3879, S3884, S3890-S3894 [18MY]

———reform the way initial credit ratings are assigned, S3681-S3683 [13MY]

———require systemically risky companies to disclose all off-balance sheet activities to the SEC, S3151 [5MY]

Financial services and general Government: making appropriations (H.R. 3170), S6188 [22JY]

FRS: permit internal investment managers of certain financial entities to act as an independent representative for evaluation of security-based swap transactions, S5903 [15JY]

Goldman Sachs Group, Inc.: SEC investigation of alleged fraudulent activities relative to sale of financial product tied to subprime mortgages, S2538 [22AP]

Government regulations: modernize and strengthen investor protection (S. 3258), S2644 [26AP]

———prohibit use of fee revenues to fund operations without undergoing annual appropriations process, S4139 [24MY]

———regulation of high-frequency trading, S921-S923 [2MR], S3340 [6MY], S3582-S3585 [12MY], S4960-S4962 [16JN], S7599-S7601 [28SE]

———require investment advisers to private funds to register with the SEC, S3899 [18MY]

———strengthen authority and oversight, S6290-S6292 [27JY]

Investments: clarify definition of swap dealers to not include end users that execute swaps through affiliates, S5907 [15JY]

———provide authority to CFTC and SEC to determine if a person dealing under-collateralization of investment swaps is a major swap participant or a major security-based swap participant, S5907 [15JY]

Mining and mineral resources: require U.S.-registered companies selling products using columbite-tantalite, coltan, cassiterite, and wolframite to disclose the country-of-origin of such materials to the SEC, S3866 [18MY], S3976 [19MY]

Securities: allow for private right of action against secondary violators that provide substantial assistance in aiding-and-abetting securities fraud, S3399 [7MY], S3618 [12MY], S3664, S3670, S3701 [13MY]

———clarify exemption for certain annuity contracts and insurance policies from Federal regulation, S4028-S4032 [20MY], S5917 [15JY]

———comprehensively regulate derivatives markets to increase transparency and reduce risks in the financial system, S2497, S2500 [21AP], S2698 [27AP], S2776 [29AP], S3067 [4MY], S5905, S5906 [15JY]

———direct the SEC and the CFTC to determine if stable value funds and wrap contracts should be treated as swaps, S5906 [15JY]

———establish a fiduciary standard of care for broker-dealers, S3399 [7MY]

———prohibit proprietary trading and certain relationships with hedge funds and private equity funds and address conflicts of interest with respect to certain securitizations, S2690, S2691 [27AP], S3896 [18MY], S3966 [19MY], S4057-S4059 [20MY], S4192 [25MY]

———regulate over-the-counter derivatives markets and improve market transparency, S3595-S3610 [12MY], S3953, S3966 [19MY], S4042 [20MY], S5890 [15JY]

———study imposition of a transaction fee on all security-based transactions, S3587 [12MY]

Senate: tribute to congressional staff who worked on H.R. 4173, Restoring American Financial Stability Act, S4139 [24MY]

———tribute to congressional staff who worked on H.R. 4173, Wall Street Reform and Consumer Protection Act, S5828, S5835 [14JY], S5932 [15JY]

Small business: clarify definition of ``accredited investor'' to facilitate access to capital, S3812-S3814, S3817 [17MY], S4063, S4064 [20MY]

Taxation: modify certain rules applicable to regulated investment companies (H.R. 4337), S7774 [29SE], S7871 [15NO], S8651 [8DE]

Wall Street Reform and Consumer Protection Act: repeal section relative to protecting confidentiality of materials submitted to the SEC, S6513 [29JY]

———repeal section relative to protecting confidentiality of materials submitted to the SEC (S. 3717), S6889 [5AU], S7298, S7299 [21SE], S7440 [24SE]

Whistleblowing: protect identity of whistleblowers and ensure transparency and accountability in Government investigations of financial fraud, S3975 [19MY]

———provide whistleblower protections for employees of nationally recognized statistical rating organizations, S3349 [6MY], S5872 [15JY]

Reports filed

Accountability and Transparency in Rating Agencies Act: Committee on Financial Services (House) (H.R. 3890) (H. Rept. 111-685), H8597 [16DE]

Consideration of Conference Report on H.R. 4173, Wall Street Reform and Consumer Protection Act: Committee on Rules (House) (H. Res. 1490) (H. Rept. 111-518), H5302 [30JN]

Financial Services and General Government Appropriations: Committee on Appropriations (Senate) (S. 3677) (S. Rept. 111-238), S6519 [29JY]

Investor Protection Act: Committee on Financial Services (House) (H.R. 3817) (H. Rept. 111-687), H8597 [16DE]

Private Fund Investment Advisers Registration Act: Committee on Financial Services (House) (H.R. 3818) (H. Rept. 111-686), H8597 [16DE]

Repeal Section of Wall Street Reform and Consumer Protection Act Relative to Protecting Confidentiality of Materials Submitted to the SEC: Committee on the Judiciary (Senate) (S. 3717), S7174 [16SE]

Shareholder Protection Act: Committee on Financial Services (House) (H.R. 4790) (H. Rept. 111-620), H6878 [22SE]

Wall Street Reform and Consumer Protection Act: Committee of Conference (H.R. 4173) (H. Rept. 111-517), H4973, H5202 [29JN]

Statements

Derivatives Regulation Legislation: FRS, S3069 [4MY]

Regulate Over-the-Counter Derivatives Markets and Improve Market Transparency: Senator Lincoln, S5920-S5925 [15JY]

Summaries

Accomplishments of the 111th Congress, E2250 [22DE]

Tables

Exxon Mobil Corp., notes to consolidated financial statements relative to income, sales-based, and other taxes as reported to SEC, S4740 [9JN], S4924 [15JN]

Mandatory GAO reports and studies required by the Dodd-Frank Wall Street Reform and Consumer Protection Act, E1653 [15SE]

Pay-as-you-go effects of H.R. 4337, Regulated Investment Company Modernization Act, H7149, H7206 [28SE]

Texts of

H. Res. 1490, consideration of conference report on H.R. 4173, Wall Street Reform and Consumer Protection Act, H5223 [30JN]

H.R. 4173, Restoring American Financial Stability Act, S4239-S4394 [25MY]

H.R. 4337, Regulated Investment Company Modernization Act, H7064-H7069 [28SE]

S. 3258, Modernizing and Strengthening Investor Protection Act, S2644-S2649 [26AP]

S. 3717, repeal section of Wall Street Reform and Consumer Protection Act relative to protecting confidentiality of materials submitted to the SEC, S7299 [21SE], H6952 [23SE]

S. 3717, repeal Wall Street Reform and Consumer Protection Act section relative to protecting confidentiality of materials submitted to the SEC, S6889 [5AU]