SECURITIES AND EXCHANGE COMMISSION
Amendments
Financial services and general Government: making appropriations (H.R. 5016), H6181, H6182, H6183, H6184, H6185, H6186, H6187, H6188, H6189, H6190, H6194, H6197, H6198, H6203, H6204, H6207, H6218 [14JY], H6262, H6263, H6264, H6265, H6266, H6267, H6268, H6270, H6271, H6272, H6273, H6274, H6275, H6276, H6277, H6278, H6279, H6280, H6282, H6297, H6298 [15JY], H6316, H6317, H6318, H6320, H6321, H6322, H6323 [16JY], H7037 [29JY]
——— making appropriations (H.R. 5016), consideration (H. Res. 661), H6048 [10JY]
Articles and editorials
New Proposal Includes XBRL Exemption—and Major Setback for Open Data, E1476 [19SE]
Bills and resolutions
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 H.R. 4270), H2484 [14MR]
Business and industry: require disclosure of total corporate tax paid by a corporation in each annual report (see H.R. 5442), H7433 [10SE]
——— revise definition of a well-known seasoned issuer to reduce worldwide market value threshold under the definition (see H.R. 4697), H4783 [21MY]
CFTC: align exemptions for general solicitation of investment in commodity pools similar to the exemption provided for general solicitation of securities under the Jumpstart Our Business Startups Act (see H.R. 4392), H2913 [3AP]
Crime: extend statute of limitations for certain securities law violations (see S. 2868), S5782 [18SE]
Economy: create jobs by revising Federal labor laws, decreasing regulatory burdens, providing comprehensive energy reform, and streamlining access to investment capital (see H.R. 4304), H2695 [26MR]
Financial institutions: establish the prudential regulator of community and independent depository institutions as the conduit and arbiter of all Federal financial oversight, examination, and reporting (see S. 2242), S2378 [10AP]
Financial services and general Government: making appropriations (see H.R. 5016), H5826 [3JY]
——— making appropriations (H.R. 5016), consideration (see H. Res. 661), H6034 [9JY]
Government regulations: exempt smaller public companies from requirements relating to the use of Extensible Business Reporting Language for periodic reporting (see H.R. 4164), H2255 [6MR]
——— improve form 10-K and regulation S-K (see H.R. 4569), H3446 [6MY]
——— prevent duplicative regulation of advisers of small business investment companies (see S. 2765), S5217 [31JY]
——— 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 S. 1923), S325 [14JA]
——— revise regulation D relative to exemptions from registration requirements for certain sales of securities (see H.R. 4570), H3446 [6MY]
——— revise rules to increase threshold amount for requiring issuers to provide certain disclosures relative to compensatory benefit plans (see H.R. 4571), H3446 [6MY]
Investments: clarify definition of general solicitation under Federal securities law as not applying to events like demo days (see S. 2498), S3863 [19JN] (see H.R. 4915), H5557 [19JN]
——— modify disclosures to investors in municipal and corporate debt securities (see S. 2114), S1584 [12MR]
Proprietary Education Oversight Coordination Committee: establish (see S. 2204), S2161 [3AP] (see H.R. 4391), H2913 [3AP]
Securities: amend securities laws to improve private market offerings (see H.R. 4554), H3407 [1MY]
Small business: enhance ability of small and emerging growth companies to access capital markets and reduce regulatory burdens (see H.R. 5405), H7295 [8SE]
——— improve small company capital formation laws (see H.R. 4565), H3445 [6MY]
——— provide smaller public companies with access to capital-raising advantages by eliminating excessive filing requirements and expediting stock registration (see H.R. 4568), H3446 [6MY]
Taxation: exempt certain stock of real estate investment trusts from the tax on foreign investment in U.S. real property interests (see H.R. 5487), H7617 [16SE]
Excerpts
Wall Street Reform and Consumer Protection Act regulations governing financial assistance for swaps entities, S6721 [12DE]
Letters
Regulation D Study Act: Jim Nussle, Credit Union National Association, H8245 [2DE]
Motions
Financial services and general Government: making appropriations (H.R. 5016), H6274 [15JY], H6331 [16JY]
Remarks in House
CFTC: align exemptions for general solicitation of investment in commodity pools similar to the exemption provided for general solicitation of securities under the Jumpstart Our Business Startups Act (H.R. 4392), E512 [3AP]
——— exempt registered investment companies (RICs) from duplicative registration and regulatory requirements when such companies are currently registered with and regulated by the SEC, H5636, H5637 [23JN]
Consumers: protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), H7110 [30JY]
Federal contracts: prohibit funding for contractors who violate the Fair Labor Standards Act by refusing to pay employees for hours worked, H6265 [15JY]
Financial Accounting Standards Board: prohibit funding to implement, administer, or enforce final leasing accounting standard rules, regulations, or requirements, H6268 [15JY]
Financial institutions: prohibit funding to designate any nonbank financial companies as ‘‘Too Big To Fail’’ or as a ‘‘systemically important financial instution’’, H6317, H6318 [16JY]
Financial services and general Government: across-the-board funding reduction for related agencies, H6278, H6279 [15JY]
——— making appropriations, H441, H443 [15JA]
——— making appropriations (H.R. 5016), H6122, H6125 [11JY], H6169–H6213 [14JY], H6242–H6245, H6261–H6284 [15JY], H6316–H6333 [16JY], H6361 [17JY], H6853–H6857 [25JY], E1165, E1172, E1176, E1177 [16JY], E1187 [17JY], E1195 [18JY]
——— making appropriations (H.R. 5016), consideration (H. Res. 661), H6043–H6049 [10JY]
——— making appropriations (H.R. 5016), motion to recommit, H6331, H6332 [16JY]
——— prohibit funding by related agencies to contract with entities that have reincorporated in tax havens, H6263, H6264 [15JY]
——— prohibit funding for related agencies for contracts with offerors or principals of offerors convicted of certain crimes within a certain period, H6267 [15JY]
——— prohibit funding to lease or purchase new light duty vehicles except in accordance with Presidential memorandum on Federal fleet performance, H6316 [16JY]
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 (H.R. 3240), H188 [14JA], H8244–H8246 [2DE]
Government regulations: exempt smaller public companies from requirements relating to the use of Extensible Business Reporting Language for periodic reporting, H7502 [15SE], E1475 [19SE]
——— improve consideration of the costs and benefits of its regulations and orders, H5618 [23JN]
——— improve form 10-K and regulation S-K (H.R. 4569), H8258–H8260 [2DE]
——— 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 (H.R. 2274), H192–H196 [14JA]
——— require certain investment advisers to pay fees to help cover the costs of inspecting and examining investment advisers, H6207 [14JY]
——— revise proposed rule to impose floating net asset value on certain money market funds, H6267, H6268 [15JY]
——— revise regulation D relative to exemptions from registration requirements for certain sales of securities (H.R. 4570), E1827 [12DE]
——— revise rules to increase threshold amount for requiring issuers to provide certain disclosures relative to compensatory benefit plans, H7501 [15SE]
——— update and improve cybersecurity disclosure guidance, H6179, H6180 [14JY]
Investments: prohibit funding to study, promulgate, draft, review, implement, and enforce new standards of conduct for brokers, dealers, and investment advisers, H6322, H6323 [16JY]
——— provide a registration exemption for private equity fund advisers, H7814 [18SE]
——— provide a registration exemption for private equity fund advisers (H.R. 1105), H7110 [30JY]
Municipalities Continuing Disclosure Cooperation Initiative: modify self-reporting requirements, H6316 [16JY]
Securities: make shareholder registration threshold for savings and loan holding companies the same as for bank holding companies (H.R. 801), H196–H200 [14JA]
——— provide end user exemptions for certain derivative sales, H7512 [15SE], H8963–H8966, H8986, H8988, H8990 [10DE]
Small business: enhance ability of small and emerging growth companies to access capital markets and reduce regulatory burdens (H.R. 5405), H7497–H7504 [15SE], E1475 [19SE]
Wall Street Reform and Consumer Protection Act: adopt rules setting forth the application to cross-border swaps transactions of certain provisions relating to swaps, H5614, H5617 [23JN]
——— adopt rules setting forth the application to cross-border swaps transactions of certain provisions relating to swaps (H.R. 1256), H5509 [19JN]
Remarks in Senate
Bowen, Sharon Y.: suitability to be CFTC member relative to actions as Securities Investor Protection Corp., Acting Chair in judgment against Stanford Financial Group, S3348, S3352 [3JN]
CFTC: provide for greater regulation of high frequency trading of commodities futures and greater protection for derivatives traders and trading facilities, S1915 [1AP]
Crime: extend statute of limitations for certain securities law violations (S. 2868), S5788 [18SE]
Financial institutions: address concept of ‘‘too big to fail’’ through stricter limits on leverage and liabilities and through improved capital assessment and financial reporting, S6749 [12DE]
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, S6189 [20NO]
——— require U.S.-registered companies selling products using tin, tantalum, tungsten, and gold to disclose the country-of-origin of such materials to the SEC, S4140 [26JN]
Reports filed
Consideration of H.R. 5016, Financial Services and General Government Appropriations and H.R. 4718, Bonus Depreciation Modification and Permanency: Committee on Rules (House) (H. Res. 661) (H. Rept. 113–517), H6034 [9JY]
Disclosure Modernization and Simplification Act: Committee on Financial Services (House) (H.R. 4569) (H. Rept. 113–642), H8272 [2DE]
Financial Services and General Government Appropriations: Committee on Appropriations (House) (H.R. 5016) (H. Rept. 113–508), H5826 [3JY]
Holding Company Registration Threshold Equalization Act: Committee on Financial Services (House) (H.R. 801) (H. Rept. 113–325), H223 [14JA]
Regulation D Study Act: Committee on Financial Services (House) (H.R. 3240) (H. Rept. 113–640), H8272 [2DE]
Security in Bonding Act: Committee on Small Business (House) (H.R. 776) (H. Rept. 113–462), H4783 [21MY]
——— Committee on the Judiciary (House) (H.R. 776) (H. Rept. 113–462), H4783 [21MY]
Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act: Committee on Financial Services (House) (H.R. 2274) (H. Rept. 113–326), H223 [14JA]
Rulings of the Chair
Financial services and general Government: making appropriations (H.R. 5016), H6199, H6208 [14JY], H6272, H6274 [15JY]
Tables
Financial services and general Government appropriations (H.R. 5016), H6171–H6176 [14JY]
Texts of
H. Res. 661, consideration of H.R. 5016, financial services and general Government appropriations and H.R. 4718, bonus depreciation modification and permanency, H6043 [10JY]
H.R. 801, Holding Company Registration Threshold Equalization Act, H196 [14JA]
H.R. 2274, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act, H192 [14JA]
H.R. 3240, Regulation D Study Act, H8244 [2DE]
H.R. 4569, Disclosure Modernization and Simplification Act, H8258 [2DE]
H.R. 5405, Promoting Job Creation and Reducing Small Business Burdens Act, H7497–H7501 [15SE]
S. 2204, Proprietary Education Oversight Coordination Improvement Act, S2162–S2164 [3AP]