SECURITIES AND EXCHANGE COMMISSION

Articles and editorials

Rare Win for Say on Pay, H1253 [7MR]

Bills and resolutions

Business and industry: require annual disclosures relative to the compensation brackets in which an issuer’s minority and women employees reside (see H.R. 3791), H78 [18JA]

——— require disclosure of the total number of a company’s domestic and foreign employees (see S. 3392), S5085 [17JY] (see H.R. 3875), H374 [1FE]

Business development companies: change asset coverage ratio and treatment of preferred stock, allow acquisition or holding of certain securities, and revise rules (see H.R. 5929), H3698 [8JN]

Credit: require nationally recognized statistical rating organizations to certify that they monitor the accuracy of credit ratings issued by the organization (see H.R. 6512), H6275 [21SE]

Financial institutions: implement rule banning proprietary trading by commercial banks after regulatory agencies have issued their final rules (see S. 2223), S2001 [22MR]

——— make certain improvements relative to proprietary trading by banking entities (see H.R. 6524), H6275 [21SE]

Financial services and general Government: making appropriations (see S. 3301), S4203 [14JN] (see H.R. 6020), H4063 [26JN]

——— making appropriations (H.R. 6020), consideration (see H. Res. 717), H4603 [28JN]

Government regulations: enhance civil penalties under Federal securities laws (see S. 3416), S5257 [23JY]

——— exempt low-revenue companies from certain regulations (see H.R. 6161), H5078 [19JY]

——— improve consideration of the costs and benefits of its regulations and orders (see S. 2373), S2821 [26AP]

——— require certain investment advisers to pay fees to help cover the costs of inspecting and examining investment advisers (see H.R. 6204), H5291 [25JY]

Government-sponsored enterprises: suspend compensation packages for senior executives of Fannie Mae and Freddie Mac and compensate such executives in accordance with other financial regulatory agencies (see S. 2054), S261 [1FE]

Investments: provide for the registration and oversight of national investment adviser associations (see H.R. 4624), H2123 [25AP]

——— repeal certain indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities (see H.R. 4235), H1497 [21MR]

Securities: amend laws to establish certain thresholds for shareholder registration (see H.R. 4088), H950 [24FE]

——— provide end user exemptions for certain derivative sales (see S. 3480), S5870 [1AU]

——— provide one-time payments from the SIPC Fund for customers during a pending lawsuit by the SEC against the Securities Investor Protection Corp. (see H.R. 4002), H692 [9FE]

Securities and Derivatives Commission: establish (see H.R. 6613), H6535 [29NO]

Small business: enable national securities exchanges to provide incentives to market-makers that increase liquidity and depth of capital markets and promote enhanced trading and price-discovery for smaller companies (see H.R. 6127), H4868 [13JY]

Wall Street Reform and Consumer Protection Act: clarify provisions relative to regulation of municipal advisors (see S. 3620), S6625 [21SE]

——— provide exemptions from municipal advisor registration requirements (see S. 3492), S5977 [2AU]

——— technical corrections (see S. 3713), S8507 [28DE]

Letters

Emerging growth companies’ requirement to fully comply with say-on-pay and golden parachute shareholder vote requirements: Jeff Mahoney, Council of Institutional Investors, H1253 [7MR]

Jumpstart Our Business Startups Act, S1698, S1722 [15MR]

Remarks in House

Business and industry: require emerging growth companies to fully comply with say-on-pay and golden parachute shareholder vote requirements, H1252–H1255 [7MR]

CFTC: implementation of regulations limiting amount of outside speculator participation in the energy futures trading markets, H1220, H1264 [7MR], H2798–H2800 [16MY]

Climate: prohibit from enforcing or issuing interpretive guidance on climate change, H5280–H5282 [25JY]

Crime: preserve anti-fraud enforcement authorities, H655 [9FE]

Economy: study effects of financial speculation on domestic oil and gasoline prices on emerging growth companies, H1259, H1260 [7MR]

FBI: provide additional resources for Federal investigations and prosecutions of crimes related to the recent financial crisis (H.R. 1350), H673–H675 [9FE]

Financial services and general Government: making appropriations (H.R. 6020), consideration (H. Res. 717), H4609–H4614 [29JN]

Government regulations: address certain anti-evasion concerns and determine if the term ‘‘held of record’’ should be changed to mean beneficial owner of the security, H1280, H1281 [8MR]

——— change threshold number of shareholders for required registration, H1215, H1223, H1225, H1243 [7MR], H1278, H1279 [8MR]

——— consider burden of internal controls auditing requirements for companies with public float less than a certain amount, H5278–H5280 [25JY]

——— delay effective date of requirement for cost/benefit analysis of regulations until certification that such requirement will not divert resources from mission to protect investors and the financial system, H5282, H5283 [25JY]

——— eliminate prohibition against general solicitation as a requirement for certain registration exemptions, H1215, H1223, H1225, H1240, H1245 [7MR]

——— eliminate prohibition against general solicitation as a requirement for certain registration exemptions (H.R. 2940), H120 [24JA]

——— improve consideration of the costs and benefits of its regulations and orders, H5141 [24JY], H5227, H5241 [25JY]

——— require publicly traded companies to disclose the number of domestic and foreign employees, H1281, H1282 [8MR]

——— SEC and CFTC cost-benefit analysis requirements and litigation costs funding, H5277, H5278 [25JY]

——— study authority to enforce certain anti-evasion provisions associated with shareholder threshold regulations, H1279, H1280 [8MR]

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), E353 [8MR]

Investments: clarify that general advertising regulations only apply to certain securities offerings and permit only qualified institutional buyers to purchase securities from secondary market, H1260, H1261 [7MR]

——— exempt inter-affiliate swaps from certain regulatory requirements put in place under the Wall Street Reform and Consumer Protection Act (H.R. 2779), H1548–H1551 [26MR], E479 [28MR]

——— provide online information and conduct outreach to inform small businesses and women-, veteran-, and minority-owned businesses of efforts to improve access to public capital markets for emerging growth companies, H1284, H1285 [8MR]

——— report on increase in initial public offerings, specifically in the manufacturing and high technology industry, resulting from efforts to improve access to public capital markets for emerging growth companies, H1283, H1284 [8MR]

Iran: require companies and banks to disclose sanctionable investments and activities in Iran, H5572 [1AU]

Securities: amend laws to establish certain thresholds for shareholder registration, H1215, H1223, H1225, H1227, H1238, H1240–H1242, H1245 [7MR]

——— authorize exemption of a certain class of securities from the Securities Act, H1215, H1223, H1225, H1237, H1243, H1245 [7MR]

——— authorize exemption of a certain class of securities from the Securities Act (H.R. 1070), H148 [24JA]

——— exempt from registration regulations brokers who do not charge fees nor handle investors money and permit only accredited investors to use their platforms, H1277, H1278 [8MR]

——— provide end user exemptions for certain derivative sales (H.R. 2682), H1551–H1553 [26MR], E479 [28MR]

——— require brokers underwriting initial public offerings for emerging growth companies be held to strict liability for publicly released research and that certain communications be filed with the SEC, H1256, H1257, H1261 [7MR]

Small business: establish new filing fees to discourage frivolous filings, H1259 [7MR]

Wall Street Reform and Consumer Protection Act: clarify provisions relative to regulation of municipal advisors (H.R. 2827), H6125–H6128 [19SE]

Remarks in Senate

Business and industry: issuance of regulations on the disclosure by mineral companies of payments to foreign countries for commercial development of oil, natural gas, and minerals, S5941 [2AU]

CFTC: implementation of regulations limiting amount of outside speculator participation in the energy futures trading markets, S1174 [1MR]

——— take certain actions to reduce excessive speculation in energy markets (S. 2222), S2138, S2139 [28MR], S2207 [29MR]

Congress: clarify the transaction reporting requirement is not applicable to widely held investment funds, S302 [2FE]

——— prohibit securities and commodities trading based on nonpublic information relating to Congress and require additional reporting of securities transactions by Members and employees (S. 1903), S110, S112 [26JA]

Funding, S5960 [2AU]

Government regulations: determine if the term ‘‘held of record’’ should include beneficial owners of such class of securities, S1884 [21MR], S1973 [22MR]

——— eliminate prohibition against general solicitation as a requirement for certain registration exemptions, S183 [31JA]

——— enhance civil penalties under Federal securities laws (S. 3416), S5259 [23JY]

Government-sponsored enterprises: suspend compensation packages for senior executives of Fannie Mae and Freddie Mac and compensate such executives in accordance with other financial regulatory agencies (S. 2054), S263 [1FE]

Investments: exempt inter-affiliate swaps from certain regulatory requirements put in place under the Wall Street Reform and Consumer Protection Act (H.R. 2779), S2113 [27MR], S2115 [28MR]

Political campaigns: require shareholder authorization before a public company may make certain political expenditures (S. 1360), S5012 [16JY]

Securities: amend laws to establish certain thresholds for shareholder registration, S1968, S1973, S1975 [22MR], S2078 [27MR], S2229 [29MR]

——— amend laws to establish certain thresholds for shareholder registration (S. 1824), S1455 [7MR]

——— amend securities laws to provide for registration exemptions for certain crowdfunded securities (S. 1791), S1064 [28FE], S1111 [29FE], S2230 [29MR]

——— comprehensively regulate derivatives markets to increase transparency and reduce risks in the financial system, S3403 [22MY]

——— provide end user exemptions for certain derivative sales, S3932 [12JN]

——— provide end user exemptions for certain derivative sales (H.R. 2682), S2113 [27MR], S2115 [28MR]

Small business: exempt a certain class of securities from regulations limiting the amount of shares sold to raise capital by small businesses, S1886 [21MR], S1968 [22MR]

——— exempt a certain class of securities from regulations limiting the amount of shares sold to raise capital by small businesses (S. 1544), S1454 [7MR]

Wall Street Reform and Consumer Protection Act: technical corrections (S. 3713), S8507 [28DE]

Reports filed

Business Risk Mitigation and Price Stabilization Act: Committee on Agriculture (House) (H.R. 2682) (H. Rept. 112–343), H639 [8FE]

Consideration of H.R. 6020, Financial Services and General Government Appropriations: Committee on Rules (House) (H. Res. 717) (H. Rept. 112–558), H4603 [28JN]

Financial Services and General Government Appropriations: Committee on Appropriations (House) (H.R. 6020) (H. Rept. 112–550), H4063 [26JN]

——— Committee on Appropriations (Senate) (S. 3301) (S. Rept. 112–177), S4203 [14JN]

Protecting Main Street End-Users From Excessive Regulation Act: Committee on Agriculture (House) (H.R. 3527) (H. Rept. 112–391), H639 [8FE]

Repeal Certain Indemnification Requirements for Regulatory Authorities To Obtain Access to Swap Data Required To Be Provided by Swaps Entities: Committee on Financial Services (House) (H.R. 4235) (H. Rept. 112–471), H2565 [9MY]

Repeal Prohibition on Any Federal Bailout of Swap Dealers or Participants: Committee on Financial Services (House) (H.R. 1838) (H. Rept. 112–476), H2662 [11MY]

SEC Exemption of Inter-Affiliate Swaps From Certain Regulatory Requirements Put in Place Under the Wall Street Reform and Consumer Protection Act: Committee on Agriculture (House) (H.R. 2779) (H. Rept. 112–344), H639 [8FE]

SEC Regulatory Accountability Act: Committee on Financial Services (House) (H.R. 2308) (H. Rept. 112–453), H2123 [25AP]

Swap Execution Facility Clarification Act: Committee on Agriculture (House) (H.R. 2586) (H. Rept. 112–345), H639 [8FE]

Swap Jurisdiction Certainty Act: Committee on Financial Services (House) (H.R. 3283) (H. Rept. 112–477), H2662 [11MY]

U.S. Covered Bond Act: Committee on Financial Services (House) (H.R. 940) (H. Rept. 112–407), H1152 [5MR]

Statements

Application of Insider Trading Law to Trading by Members of Congress and Their Staffs, S144–S146 [30JA]

Jumpstart Our Business Startups Act, S1970 [22MR]

Texts of

H. Res. 717, consideration of H.R. 6020, financial services and general Government appropriations, H4609 [29JN]

H.R. 2682, Business Risk Mitigation and Price Stabilization Act, H1551 [26MR]

H.R. 2779, exempt inter-affiliate swaps from certain SEC regulatory requirements put in place under the Wall Street Reform and Consumer Protection Act, H1548 [26MR]

H.R. 2827, clarify Wall Street Reform and Consumer Protection Act provisions relative to regulation of municipal advisors, H6125 [19SE]

S. 3416, Stronger Enforcement of Civil Penalties Act, S5260–S5262 [23JY]