SECURITIES EXCHANGE ACT

Bills and resolutions

Business and industry: require certain companies to disclose measures taken to identify and address conditions of forced labor, slavery, human trafficking, and child labor within the company’s supply chains (see H.R. 4842), H5318 [11JN]

CFTC: specify how clearing requirements apply to certain affiliate transactions (see S. 2976), S6350 [4DE] (see H.R. 5471), H7528 [15SE]

SEC: modify disclosures to investors in municipal and corporate debt securities (see S. 2114), S1584 [12MR]

——— 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]

——— require disclosure of total corporate tax paid by a corporation in each annual report (see H.R. 5442), H7433 [10SE]

Securities: amend securities laws to improve private market offerings (see H.R. 4554), H3407 [1MY]

Letters

No-action relief from clearing requirement for swaps entered into by eligible Treasury affiliates: Phyllis Dietz, CFTC, H8241–H8244 [2DE]

Remarks in House

Business and industry: provide for an optional pilot program allowing certain emerging growth companies to increase the tick sizes of their stocks (H.R. 3448), H1746–H1748 [11FE]

——— require certain companies to disclose measures taken to identify and address conditions of forced labor, slavery, human trafficking, and child labor within the company’s supply chains (H.R. 4842), E960 [11JN]

CFTC: specify how clearing requirements apply to certain affiliate transactions (H.R. 5471), H8240–H8244 [2DE]

SEC: modify Municipalities Continuing Disclosure Cooperation Initiative self-reporting requirements, H6316 [16JY]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), H7110 [30JY]

——— 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]

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]

Remarks in Senate

CFTC: specify how clearing requirements apply to certain affiliate transactions (H.R. 5471), S6581 [10DE]

——— specify how clearing requirements apply to certain affiliate transactions (S. 2976), S6351 [4DE]

Reports filed

Holding Company Registration Threshold Equalization Act: Committee on Financial Services (House) (H.R. 801) (H. Rept. 113–325), H223 [14JA]

Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act: Committee on Financial Services (House) (H.R. 2274) (H. Rept. 113–326), H223 [14JA]

Small Cap Liquidity Reform Act: Committee on Financial Services (House) (H.R. 3448) (H. Rept. 113–342), H1657 [5FE]

Texts of

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. 3448, Small Cap Liquidity Reform Act, H1746 [11FE]

H.R. 5471, specify how clearing CFTC requirements apply to certain affiliate transactions, H8240 [2DE]