SECURITIES AND EXCHANGE COMMISSION

Amendments

Consumers: protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), H6866 [29OC]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), consideration (H. Res. 391), H6848 [29OC]

Government regulations: improve consideration of the costs and benefits of its regulations and orders (H.R. 1062), H2743, H2744, H2745 [17MY]

——— improve consideration of the costs and benefits of its regulations and orders (H.R. 1062), consideration (H. Res. 216), H2730 [17MY]

Investments: provide a registration exemption for private equity fund advisers (H.R. 1105), H7486 [4DE]

——— provide a registration exemption for private equity fund advisers (H.R. 1105), consideration (H. Res. 429), H7468 [4DE]

Wall Street Reform and Consumer Protection Act: adopt rules setting forth the application to cross-border swaps transactions of certain provisions relating to swaps (H.R. 1256), H3324 [12JN]

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. 10), S214 [23JA]

Budget: clarify that the standard setting body designated pursuant to the Securities Act, Securities Investor Protection Corp., and Public Accounting Oversight Board funding is not subject to the sequester (see S. 1780), S8565 [9DE]

Business and industry: prohibit mandatory pre-dispute arbitration agreements (see H.R. 2998), H5396 [2AU]

——— repeal disclosure requirements that allow for comparison of executive compensation to that of other employees (see H.R. 1135), H1395 [13MR]

——— require disclosure of the total number of a company’s domestic and foreign employees (see H.R. 790), H595 [15FE]

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. 31), H28 [3JA] (see H.R. 1800), H2392 [26AP]

Consumers: protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (see H.R. 2374), H3652 [14JN]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), consideration (see H. Res. 391), H6827 [28OC]

Corporations: prohibit national securities exchanges from effecting any transaction in a security issued by a corporation unless such corporation is in compliance with the Federal Election Campaign Act (see H.R. 1115), H1394 [13MR]

Crime: increase penalties for violations of securities protections that involve targeting senior citizens (see S. 1185), S4673 [19JN]

FBI: provide additional resources for Federal investigations and prosecutions of crimes related to the recent financial crisis (see H.R. 131), H31 [3JA]

Financial institutions: make certain improvements relative to proprietary trading by banking entities (see H.R. 3701), H7687 [11DE]

Financial services and general Government: making appropriations (see S. 1371), S5968 [25JY] (see H.R. 2786), H4978 [23JY]

GAO: conduct a study on the impact of the requirement that depository institutions maintain certain reserves and Regulation D relative to exemptions from SEC registration requirements (see H.R. 3240), H6223 [3OC]

Government regulations: enhance civil penalties under Federal securities laws (see S. 286), S657 [12FE]

——— exempt low-revenue companies from certain regulations (see H.R. 2629), H4308 [9JY]

——— improve consideration of the costs and benefits of its regulations and orders (see H.R. 1062), H1355 [12MR]

——— improve consideration of the costs and benefits of its regulations and orders (H.R. 1062), consideration (see H. Res. 216), H2653 [15MY]

——— provide for a notice-filing registration procedure for brokers participating in the transfer of ownership of smaller companies and provide appropriate regulation of such transfers (see H.R. 2274), H3250 [6JN]

——— require all transactions of persons subject to accounting principles or standards to be shown on such persons’ balance sheet (see H.R. 3011), H5397 [2AU]

——— require certain investment advisers to pay fees to help cover the costs of inspecting and examining investment advisers (see H.R. 1627), H2157 [18AP]

——— revise certain rules relative to the status of qualified prepaid tuition programs under securities laws (see H.R. 3029), H5397 [2AU]

——— revise reporting requirements to require public companies to report certain expenditures made to influence public opinion on matters other than the company’s products and services (see H.R. 1112), H1394 [13MR]

Investments: exempt inter-affiliate swaps from certain regulatory requirements put in place under the Wall Street Reform and Consumer Protection Act (see H.R. 677), H501 [13FE]

——— provide a registration exemption for private equity fund advisers (H.R. 1105), consideration (see H. Res. 429), H7445 [3DE]

——— repeal certain indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities (see H.R. 742), H593 [15FE]

Political campaigns: require shareholder authorization before a public company may make certain political expenditures (see S. 824), S3028 [25AP] (see H.R. 1734), H2349 [25AP]

Political ethics: prohibit from issuing rules requiring the disclosure of an issuer’s expenditures for political activities (see H.R. 1626), H2157 [18AP]

Public Company Accounting Oversight Board: promote transparency by making disciplinary proceedings open to the public (see S. 848), S3029 [25AP]

Securities: allow publicly traded companies with a certain sized public float to change their stocks’ tick sizes to increase liquidity by incentivizing capital commitment, research coverage, and brokerage support (see H.R. 1952), H2574 [13MY]

——— make shareholder registration threshold for savings and loan holding companies the same as for bank holding companies (see S. 872), S3158 [7MY] (see H.R. 801), H596 [15FE]

——— provide end user exemptions for certain derivative sales (see S. 888), S3159 [7MY] (see H.R. 634), H499 [13FE]

——— 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. 827), H658 [26FE]

——— require that repurchase-to-maturity transactions be treated as secured borrowing (see H.R. 3010), H5397 [2AU]

——— revise requirements related to assets pledged by a surety (see H.R. 776), H595 [15FE]

——— waive arbitrage rules for bonds that are partially defeased and issued during a certain period (see H.R. 1197), H1427 [14MR]

Securities and Derivatives Commission: establish (see H.R. 3012), H5397 [2AU]

Securities Exchange Act: clarify provisions relative to regulation of municipal advisors (see H.R. 797), H596 [15FE]

Small business: set a deadline to require addition of a particular class of securities to those exempted under the Securities Act (see H.R. 701), H545 [14FE]

Taxation: exempt certain stock of real estate investment trusts from the tax on foreign investment in U.S. real property interests (see S. 1181), S4585 [18JN] (see H.R. 2870), H5259 [31JY]

Wall Street Reform and Consumer Protection Act: adopt rules setting forth the application to cross-border swaps transactions of certain provisions relating to swaps (see H.R. 1256), H1630 [19MR]

——— adopt rules setting forth the application to cross-border swaps transactions of certain provisions relating to swaps (H.R. 1256), consideration (see H. Res. 256), H3286 [11JN]

——— provide exemptions from municipal advisor registration requirements (see S. 710), S2589 [11AP]

——— technical corrections (see S. 451), S1126 [5MR]

Letters

Cross-border over-the-counter derivatives regulations: several foreign ministers of finance, H3329 [12JN]

Financial deregulation legislation, H7484 [4DE]

——— Mary Jo White, SEC, H7484 [4DE]

Retail Investor Protection Act: Brian H. Graff, National Association of Plan-Advisors, H6859 [29OC]

——— Charles Symington, Independent Insurance Agents & Brokers of America, Inc., H6860 [29OC]

——— David J. Stertzer, Association for Advanced Life Underwriting, H6859 [29OC]

——— R. Bruce Josten, U.S. Chamber of Commerce, H6858 [29OC]

——— several Senators, H6860 [29OC]

SEC deadline to require addition of a particular class of securities to those exempted under the Securities Act: James C. Greenwood, Biotechnology Industry Organization, H2628 [15MY]

——— R. Bruce Josten, U.S. Chamber of Commerce, H2627 [15MY]

——— Terry G. Campbell, Nasdaq OMX Group, Inc., H2627 [15MY]

——— Timothy Tardibono, CONNECT (organization), H2628 [15MY]

SEC Regulatory Accountability Act: A. Heath Abshure, North American Securities Administrators Association, Inc., H2739 [17MY]

——— Americans for Financial Reform (organization), H2737 [17MY]

——— Anne Simpson, California Public Employees’ Retirement System, H2739 [17MY]

——— Barbara Roper, Consumer Federation of America, H2739 [17MY]

——— Charles M. Loveless, American Federation of State, County and Municipal Employees, H2738 [17MY]

——— William Samuel, AFL–CIO, H2737 [17MY]

Small Business Capital Access and Job Preservation Act: A. Heath Abshure, North American Securities Administrators Association, Inc., H7482 [4DE]

——— Americans for Financial Reform (organization), H7477 [4DE]

——— Brett Palmer, Small Business Investor Alliance, H7472 [4DE]

——— Gary LaBranche, Association for Corporate Growth, H7474 [4DE]

——— Jennell F. Lynch, National Association of Investment Companies, H7473 [4DE]

——— Jordan Lofaro, Council of Institutional Investors, H7479 [4DE]

——— Karen Kerrigan, Small Business & Entrepreneurship Council, H7473 [4DE]

——— R. Bruce Josten, U.S. Chamber of Commerce, H7473 [4DE]

——— Russ Iuculano, North American Securities Administrators Association, Inc., H7479 [4DE]

——— Steve Judge, Private Equity Growth Capital Council, H7473 [4DE]

Swap Jurisdiction Certainty Act: Americans for Financial Reform (organization), H3321 [12JN]

——— William Samuel, AFL–CIO, H3321 [12JN]

Lists

Americans for Financial Reform (organization) partners, H2738 [17MY]

Americans for Finanical Reform (organization) partners and affiliates, H7478 [4DE]

Groups opposed to H.R. 2374, Retail Investor Protection Act, H6865 [29OC]

Motions

Consumers: protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), H6870 [29OC]

Government regulations: improve consideration of the costs and benefits of its regulations and orders (H.R. 1062), H2748 [17MY]

Investments: provide a registration exemption for private equity fund advisers (H.R. 1105), H7488 [4DE]

Wall Street Reform and Consumer Protection Act: adopt rules setting forth the application to cross-border swaps transactions of certain provisions relating to swaps (H.R. 1256), H3330 [12JN]

Remarks in House

Consumers: protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), H6758 [23OC], H6855–H6872 [29OC], E1602 [30OC]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), consideration (H. Res. 391), H6841–H6850 [29OC]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), motion to recommit, H6870 [29OC]

Dept. of Labor: allow regulations to prevent fraud related to pensions and other retirement savings accounts, promote investment education and advice, and require financial service providers to disclose any fees, H6870 [29OC]

——— issue fiduciary duty rule to protect access to investment education and advice and assure reasonable financial compensation to financial service providers, H6866–H6869 [29OC]

Dept.of Labor: communications relative to monitoring standards of conduct for brokers and investment advisers, H6861 [29OC]

Financial services and general Government: making appropriations, H5777 [20SE], H6077 [1OC]

Government regulations: ensure that the Public Company Accounting Oversight Board, Municipal Securities Rulemaking Board, and other national securites associations comply with the same cost-benefit analyses as the SEC, H2744, H2745 [17MY]

——— improve consideration of the costs and benefits of its regulations and orders (H.R. 1062), H2554 [9MY], H2731–H2751 [17MY], E751 [23MY]

——— improve consideration of the costs and benefits of its regulations and orders (H.R. 1062), consideration (H. Res. 216), H2723–H2731 [17MY]

——— improve consideration of the costs and benefits of its regulations and orders (H.R. 1062), motion to recommit, H2748–H2750 [17MY]

——— include assessment of anticipated impact on public or private sector jobs as a result of implementation of any major rule, H2744 [17MY]

——— protect pension plans of firefighters, police officer, teachers, or any retiree against fraudulent or deceptive financial practices and protect U.S. firms from takeovers by foreign companies, H2748–H2750 [17MY]

——— require conducting of economic analyses as part of its rulemaking, H2746 [17MY]

Investments: provide a registration exemption for private equity fund advisers (H.R. 1105), H7470–H7491 [4DE]

——— provide a registration exemption for private equity fund advisers (H.R. 1105), consideration (H. Res. 429), H7461–H7470 [4DE]

——— provide a registration exemption for private equity fund advisers (H.R. 1105), motion to recommit, H7488, H7489 [4DE]

——— repeal certain indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities (H.R. 742), H3304–H3307 [12JN]

——— require private equity fund advisers to register with the SEC, H7486, H7487 [4DE]

——— restrict eligibility of investment funds to those that do not own a controlling interest in companies that outsource American jobs, H7488, H7489 [4DE]

Naperville, IL: tribute to Neuqua Valley High School for participation in the SIFMA Foundation Stock Market Game, E916 [19JN]

Political ethics: require disclosure of political intelligence activities and enhance prosecution of public corruption, H2726 [17MY]

Power resources: exempt U.S. energy development companies from energy resource extraction reporting requirements under a transboundary hydrocarbon agreement, H4098–H4103 [27JN]

Securities: proposed rules to permit companies to offer and sell securities through crowdfunding, H6909 [30OC]

——— provide end user exemptions for certain derivative sales (H.R. 634), H3301–H3304 [12JN]

Small business: set a deadline to require addition of a particular class of securities to those exempted under the Securities Act (H.R. 701), H2627–H2629 [15MY]

Wall Street Reform and Consumer Protection Act: adopt rules setting forth the application to cross-border swaps transactions of certain provisions relating to swaps (H.R. 1256), H3317–H3332 [12JN]

——— adopt rules setting forth the application to cross-border swaps transactions of certain provisions relating to swaps (H.R. 1256), consideration (H. Res. 256), H3309–H3316 [12JN]

——— adopt rules setting forth the application to cross-border swaps transactions of certain provisions relating to swaps (H.R. 1256), motion to recommit, H3331 [12JN]

——— impact, H3022 [4JN]

——— prohibit cross-border swaps transactions with certain countries that violate the Iran Sanctions Act or engage in cyber attacks against the U.S., H3331 [12JN]

Remarks in Senate

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, S5598 [10JY]

Economy: reform the financial regulatory system of the U.S., S994–S996 [28FE]

Financial institutions: reform the way initial credit ratings are assigned, S2441–S2443 [8AP], S5927–S5929 [25JY]

Government regulations: enhance civil penalties under Federal securities laws (S. 286), S660 [12FE]

Presidential appointments: nominations considered and confirmed en bloc, S6253 [1AU]

Public Company Accounting Oversight Board: promote transparency by making disciplinary proceedings open to the public (S. 848), S3041 [25AP]

Securities: provide end user exemptions for certain derivative sales (S. 888), S3213 [7MY], S3215 [8MY]

Wall Street Reform and Consumer Protection Act: impact, S8820 [15DE]

White, Mary Jo: confirmation as SEC Chair, S2441–S2443 [8AP]

——— nomination to be SEC Chair, S2439 [8AP]

Reports filed

Business Risk Mitigation and Price Stabilization Act: Committee on Agriculture (House) (H.R. 634) (H. Rept. 113–105), H3355 [12JN]

——— Committee on Financial Services (House) (H.R. 634) (H. Rept. 113–105), H3355 [12JN]

Consideration of H.R. 1062, SEC Regulatory Accountability Act: Committee on Rules (House) (H. Res. 216) (H. Rept. 113–60), H2653 [15MY]

Consideration of H.R. 1256, Swap Jurisdiction Certainty Act: Committee on Rules (House) (H. Res. 256) (H. Rept. 113–104), H3286 [11JN]

Consideration of H.R. 2374, Retail Investor Protection Act: Committee on Rules (House) (H. Res. 391) (H. Rept. 113–253), H6827 [28OC]

Consideration of H.R. 3309, Innovation Act and H.R. 1105, Small Business Capital Access and Job Preservation Act: Committee on Rules (House) (H. Res. 429) (H. Rept. 113–283), H7445 [3DE]

Financial Services and General Government Appropriations: Committee on Appropriations (House) (H.R. 2786) (H. Rept. 113–172), H4978 [23JY]

——— Committee on Appropriations (Senate) (S. 1371) (S. Rept. 113–80), S5968 [25JY]

Nomination of Kara M. Stein to the SEC: Committee on Banking, Housing, and Urban Affairs (Senate), S5799 [18JY]

Nomination of Mary Jo White to the SEC: Committee on Banking, Housing, and Urban Affairs (Senate), S1950 [19MR], S5799 [18JY]

Nomination of Michael S. Piwowar to the SEC: Committee on Banking, Housing, and Urban Affairs (Senate), S5799 [18JY]

Retail Investor Protection Act: Committee on Financial Services (House) (H.R. 2374) (H. Rept. 113–228), H5832 [25SE], H6051 [30SE]

SEC Deadline To Require Addition of a Particular Class of Securities to Those Exempted Under the Securities Act: Committee on Financial Services (House) (H.R. 701) (H. Rept. 113–58), H2653 [15MY]

SEC Regulatory Accountability Act: Committee on Financial Services (House) (H.R. 1062) (H. Rept. 113–53), H2574 [13MY]

Swap Data Repository and Clearinghouse Indemnification Correction Act: Committee on Agriculture (House) (H.R. 742) (H. Rept. 113–106), H3355 [12JN]

——— Committee on Financial Services (House) (H.R. 742) (H. Rept. 113–106), H3355 [12JN]

Swap Jurisdiction Certainty Act: Committee on Agriculture (House) (H.R. 1256) (H. Rept. 113–103), H3256 [10JN]

——— Committee on Financial Services (House) (H.R. 1256) (H. Rept. 113–103), H3256 [10JN]

Statements

Legislative Proposals To Relieve the Red Tape Burden on Investors and Job Creators: Anne Simpson, California Public Employees’ Retirement System, H7481 [4DE]

Repeal Prohibition on Any Federal Bailout of Swap Dealers or Participants: Several Representatives (112th Congress), H6921 [30OC]

Retail Investor Protection Act: Executive Office of the President, H6860, H6865 [29OC]

SEC Regulatory Accountability Act: Executive Office of the President, H2737 [17MY]

Small Business Capital Access and Job Preservation Act: Executive Office of the President, H7479 [4DE]

Swap Jurisdiction Certainty Act: Executive Office of the President, H3323 [12JN]

Texts of

H. Res. 216, consideration of H.R. 1062, SEC Regulatory Accountability Act, H2723 [17MY]

H. Res. 256, consideration of H.R. 1960, Dept. of Defense appropriations for military activities, prescribing personnel strengths, and military construction and H.R. 1256, Swap Jurisdiction Certainty Act, H3309 [12JN]

H. Res. 391, consideration of H.R. 992, Swaps Regulatory Improvement Act, H.R.2374, Retail Investor Protection Act, and H.J. Res. 99, disapprove President’s exercise of authority to suspend the debt ceiling, H6841 [29OC]

H. Res. 429, consideration of H.R. 3309, Innovation Act and H.R. 1105, Small Business Capital Access and Job Preservation Act, H7461 [4DE]

H.R. 634, Business Risk Mitigation and Price Stabilization Act, H3301 [12JN]

H.R. 701, SEC deadline to require addition of a particular class of securities to those exempted under the Securities Act, H2627 [15MY]

H.R. 742, Swap Data Repository and Clearinghouse Indemnification Correction Act, H3304 [12JN]

H.R. 1105, Small Business Capital Access and Job Preservation Act, H7470 [4DE]

H.R. 1256, Swap Jurisdiction Certainty Act, H3318 [12JN]

H.R. 2374, Retail Investor Protection Act, H6855 [29OC]

S. Res. 10, suspend aid, cooperate with U.S. officials, transfer seized assets, make contributions to victims, and condition international loans to Antigua and Barbuda relative to Stanford Financial Group fraud, S225 [23JA]