SECURITIES AND EXCHANGE COMMISSION

Amendments

Financial services and general Government: making appropriations (H.R. 2434), H4852 [11JY], H4946 [12JY], H5088 [14JY]

Government regulations: eliminate prohibition against general solicitation as a requirement for certain registration exemptions (H.R. 2940), H7294 [3NO]

———eliminate prohibition against general solicitation as a requirement for certain registration exemptions (H.R. 2940), consideration (H. Res. 453), H7287 [3NO]

Articles and editorials

Funding Regulators, E396 [2MR]

Industry Looks To Derail Dodd-Frank Enforcement, H4159 [14JN]

Judge Blocks Citigroup Settlement With S.E.C., H8005 [1DE]

Bills and resolutions

Antigua and Barbuda: suspend aid, cooperate with U.S. officials, transfer seized assets, make contributions to victims, and condition international loans relative to Stanford Financial Group fraud (see S. Res. 346), S8461 [8DE] (see H. Res. 507), H10015 [20DE]

Climate: prohibit enforcement of a climate change interpretive guidance (see S. 1393), S4721 [20JY] (see H.R. 2603), H5285 [20JY]

Commodity Exchange Act: clarify definition of swap dealer (see H.R. 3527), H7998 [30NO]

Congress: prohibit securities and commodities trading based on nonpublic information relating to Congress and require additional reporting of securities transaction by Members and employees (see S. 1903), S7702 [17NO]

FBI: provide additional resources for Federal investigations and prosecutions of crimes related to the recent financial crisis (see H.R. 1350), H2291 [4AP]

Financial services and general Government: making appropriations (see S. 1573), S5684 [15SE] (see H.R. 2434), H4747 [7JY]

Foreign countries: take action against certain judgment-evading foreign states and state-owned corporations of such states (see S. 912), S2777 [9MY] (see H.R. 1798), H3114 [6MY]

Government regulations: change threshold number of shareholders for required registration (see H.R. 2167), H4185 [14JN]

———eliminate prohibition against general solicitation as a requirement for certain registration exemptions (see S. 1831), S7294 [9NO] (see H.R. 2940), H6230 [15SE]

———eliminate prohibition against general solicitation as a requirement for certain registration exemptions (H.R. 2940), consideration (see H. Res. 453), H7255 [2NO]

———establish a covered bond regulatory oversight program (see H.R. 940), H1618 [8MR]

———improve consideration of the costs and benefits of its regulations and orders (see H.R. 2308), H4526 [23JN]

Human rights: require companies to disclose in annual reports measures taken to identify and address conditions of forced labor, slavery, human trafficking, and child labor within supply chains (see H.R. 2759), H5884 [1AU]

Insurance: prohibit financial regulators from collecting data directly from an insurance company (see H.R. 3559), H8135 [5DE]

Investment Advisers Act: define ``family office'' relative to exemption from registering (see H.R. 2225), H4326 [16JN]

Investments: exempt certain regulatory requirements put in place under the Wall Street Reform and Consumer Protection Act (see H.R. 2779), H5885 [1AU]

Iran: require companies and banks to disclose sanctionable investments and activities in Iran (see S. 366), S791 [16FE] (see H.R. 740), H1039 (see H.R. 740), H1070 [16FE]

Nationally Recognized Statistical Rating Organizations: limit liability by reinstating rule relative to inclusion of security ratings in registration statements (see H.R. 1539), H2854 [14AP]

Political campaigns: require shareholder authorization before a public company may make certain political expenditures (see S. 1360), S4555 [13JY] (see H.R. 2517), H5018 [13JY]

Public buildings: eliminate independent leasing authority (see H.R. 2390), H4574 [24JN]

Public Company Accounting Oversight Board: promote transparency by making disciplinary proceedings open to the public (see S. 1907), S7829 [18NO] (see H.R. 3503), H7891 [18NO]

Securities: amend laws to establish certain thresholds for shareholder registration (see S. 556), S1547 [10MR] (see S. 1824), S7187 [8NO] (see S. 1941), S8183 [5DE] (see H.R. 1965), H3409 [24MY]

———amend securities laws to provide for registration exemptions for certain crowdfunded securities (see S. 1791), S7066 [2NO]

———authorize exemption of a certain class of securities from the Securities Act (see H.R. 1070), H1796 [14MR]

———constitutional amendment to prohibit the U.S. from owning stock in private corporations (see H.J. Res. 22), H434 [24JA]

———implement regulations governing over-the-counter swaps, promote regulatory coordination, and avoid market disruption (see H.R. 1573), H2909 [15AP]

———provide an exemption for certain swaps and security-based swaps involving non-U.S. persons (see H.R. 3283), H7165 [31OC]

———provide end user exemptions for certain derivative sales (see S. 947), S2874 [11MY] (see H.R. 1610), H2911 [15AP] (see H.R. 2682), H5732 [28JY]

———refine definition of swap execution facility for purposes of swap market regulation (see H.R. 2586), H5238 [19JY]

———repeal prohibition on any Federal bailout of swap dealers or participants (see H.R. 1838), H3218 [11MY]

———set implementation schedule for derivatives and over-the-counter swaps regulations, evaluate economic implications of such regulations, and establish SEC Office of Derivatives (see S. 1650), S6090 [4OC]

Small business: exempt a certain class of securities from regulations limiting the amount of shares sold to raise capital by small businesses (see S. 1544), S5499 [12SE]

———make certain internal control reporting and assessment requirements optional for certain smaller companies (see S. 1962), S8414 [7DE] (see H.R. 2941), H6231 [15SE]

Wall Street Reform and Consumer Protection Act: clarify provisions relative to regulation of municipal advisors (see H.R. 2827), H5928 [26AU]

Whistleblowing: modify certain SEC and CFTC whistleblower incentive and protection programs (see H.R. 2483), H4850 [11JY]

Letters

CFTC implementation of regulations limiting amount of outside speculator participation in the energy futures trading markets: Bart Chilton, CFTC, H2587 [12AP]

———Joseph H. Petrowski, Cumberland Gulf Group of Companies, E1395 [25JY]

Motions

Government regulations: eliminate prohibition against general solicitation as a requirement for certain registration exemptions (H.R. 2940), H7312 [3NO]

Remarks in House

Antigua and Barbuda: suspend aid, cooperate with U.S. officials, transfer seized assets, make contributions to victims, and condition international loans relative to Stanford Financial Group fraud (H. Res. 507), E2330 [20DE]

CFTC: implementation of regulations limiting amount of outside speculator participation in the energy futures trading markets, H2587 [12AP], H3422 [25MY], E1395 [25JY]

Economy: impact of Government regulations, H633-H673 [10FE], H687-H714 [11FE], H2024-H2029 [29MR]

———provide financial regulatory reform, protect consumers and investors, enhance Federal understanding of insurance issues, and regulate the over-the-counter derivatives markets, H648-H654 [10FE]

———reform the financial regulatory system of the U.S., H6559 [5OC]

FBI: provide additional resources for Federal investigations and prosecutions of crimes related to the recent financial crisis, H7736 [17NO]

———provide additional resources for Federal investigations and prosecutions of crimes related to the recent financial crisis (H.R. 1350), H7725 [17NO], H8004 [1DE], H8195 [7DE], H8962-H8964 [14DE]

Financial services and general Government: making appropriations, H9893, H9894 [16DE]

———making appropriations (H.R. 2434), H4863 [12JY]

Funding, E396 [2MR]

———reductions in GSA and IRS funding, H1125-H1131 [17FE]

Government regulations: eliminate prohibition against general solicitation as a requirement for certain registration exemptions (H.R. 2940), H7223 [2NO], H7289-H7295, H7311-H7314, H7320 [3NO], E1991, E2000, E2003 [3NO]

———eliminate prohibition against general solicitation as a requirement for certain registration exemptions (H.R. 2940), consideration (H. Res. 453), H7279-H7288 [3NO]

———eliminate prohibition against general solicitation as a requirement for certain registration exemptions (H.R. 2940), corrections in engrossment, H7314 [3NO]

———eliminate prohibition against general solicitation as a requirement for certain registration exemptions (H.R. 2940), motion to recommit, H7312, H7313 [3NO]

———require issuers of securities to verify that purchasers are accredited investors, H7290 [3NO]

———require persons offering or selling securities utilizing general advertising or general solicitation to not have been previously convicted of fraud in connection with a financial transaction, H7312, H7313 [3NO]

———require securities' advertising materials associated with exempted offerings to disclose bonus compensation structures and golden parachute arrangements, H7294, H7295 [3NO]

Human rights: require companies to disclose in annual reports measures taken to identify and address conditions of forced labor, slavery, human trafficking, and child labor within supply chains (H.R. 2759), E1466 [1AU]

Investments: hedge funds regulation funding, H845 [15FE], E278 [18FE]

Securities: adjust for inflation the aggregate annual amounts of investments, H7302 [3NO]

———amend laws to establish certain thresholds for shareholder registration (H.R. 1965), H7226-H7229 [2NO], E2002 [3NO]

———authorize exemption of a certain class of securities from the Securities Act (H.R. 1070), H7229-H7232 [2NO], E2000 [3NO]

———index individual investment cap to inflation, H7303 [3NO]

———require crowdfunding intermediaries to disclose methods of compensation to potential investors, H7303, H7304 [3NO]

———require investment firms establish link to SEC-maintained website providing investment warnings and safety tips for Internet investing, H7305, H7306 [3NO]

Remarks in Senate

CFTC: implementation of regulations limiting amount of outside speculator participation in the energy futures trading markets, S3305, S3306 [25MY]

———impose position limits on crude oil futures, S3303-S3306 [25MY]

Economy: impact of Government regulations, S7246, S7247 [9NO]

Financial services and general Government: making appropriations, S7395 [14NO], S7432-S7434 [15NO], S8757 [17DE]

———making appropriations (S. 1573), S6993 [1NO]

Funding, S8694 [16DE]

Government regulations: eliminate prohibition against general solicitation as a requirement for certain registration exemptions (H.R. 2940), S7160 [7NO], S7163 [8NO]

———eliminate prohibition against general solicitation as a requirement for certain registration exemptions (S. 1831), S7283 [9NO], S7634 [17NO]

Presidential appointments: nominations considered and confirmed en bloc, S6891 [20OC]

Public Company Accounting Oversight Board: promote transparency by making disciplinary proceedings open to the public (S. 1907), S7831 [18NO]

Republican Party: national agenda, S7246 [9NO]

Securities: amend laws to establish certain thresholds for shareholder registration (H.R. 1965), S7143 [3NO], S7160 [7NO], S7230 [9NO]

———amend laws to establish certain thresholds for shareholder registration (S. 556), S7422 [15NO]

———amend securities laws to provide for registration exemptions for certain crowdfunded securities (S. 1791), S7634 [17NO]

———authorize exemption of a certain class of securities from the Securities Act (H.R. 1070), S7143 [3NO], S7146, S7160 [7NO], S7164 [8NO]

Small business: exempt a certain class of securities from regulations limiting the amount of shares sold to raise capital by small businesses (S. 1544), S7634 [17NO]

Reports filed

Access to Capital for Job Creators Act: Committee on Financial Services (House) (H.R. 2940) (H. Rept. 112-263), H7165 [31OC]

Asset-Backed Market Stabilization Act: Committee on Financial Services (House) (H.R. 1539) (H. Rept. 112-196), H5904 [12AU]

Business Risk Mitigation and Price Stabilization Act: Committee on Financial Services (House) (H.R. 2682) (H. Rept. 112-343), H10026 [23DE]

Consideration of H.R. 2930, Entrepreneur Access to Capital Act and H.R. 2940, Access to Capital for Job Creators Act: Committee on Rules (House) (H. Res. 453) (H. Rept. 112-265), H7255 [2NO]

Financial Services and General Government Appropriations: Committee on Appropriations (House) (H.R. 2434) (H. Rept. 112-136), H4747 [7JY]

———Committee on Appropriations (Senate) (S. 1573) (S. Rept. 112-79), S5684 [15SE]

Implement Regulations Governing Over-the-Counter Swaps, Promote Regulatory Coordination, and Avoid Market Disruption Relative to Securities: Committee on Agriculture (House) (H.R. 1573) (H. Rept. 112-109), H4325 [16JN]

———Committee on Financial Services (House) (H.R. 1573) (H. Rept. 112-109), H4325 [16JN]

Nomination of Daniel M. Gallagher, Jr., to the SEC: Committee on Banking, Housing, and Urban Affairs (Senate), S5458 [8SE]

Nomination of Luis A. Aguilar to the SEC: Committee on Banking, Housing, and Urban Affairs (Senate), S5458 [8SE]

Private Company Flexibility and Growth Act: Committee on Financial Services (House) (H.R. 2167) (H. Rept. 112-327), H8727 [12DE]

SEC Exemption of Inter-Affiliate Swaps From Certain Regulatory Requirements Put in Place Under the Wall Street Reform and Consumer Protection Act: Committee on Financial Services (House) (H.R. 2779) (H. Rept. 112-343), H10026 [23DE]

Small Company Capital Formation Act: Committee on Financial Services (House) (H.R. 1070) (H. Rept. 112-206), H6180 [14SE]

Swap Execution Facility Clarification Act: Committee on Financial Services (House) (H.R. 2586) (H. Rept. 112-345), H10026 [23DE]

Tables

Consolidated Appropriations Act (H.R. 2055): financial services and general Government, H9835-H9840 [16DE]

Texts of

H. Res. 453, consideration of H.R. 2930, Entrepreneur Access to Capital Act and H.R. 2940, Access to Capital for Job Creators Act, H7279 [3NO]

H.R. 1070, Small Company Capital Formation Act, H7229 [2NO]

H.R. 1965, amend laws to establish certain thresholds for shareholder registration, H7226 [2NO]

H.R. 2608, Small Business Program Extension and Reform Act, S6053 [3OC]

H.R. 2940, Access to Capital for Job Creators Act, H7289 [3NO]

S. 1907, PCAOB Enforcement Transparency Act, S7832 [18NO]

S. Res. 346, suspend aid to Antigua and Barbuda, urge cooperation with U.S. officials, transfer seized assets, make contributions to victims, and condition international loans relative to Stanford Financial Group fraud, S8464 [8DE]