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. 1090), H7241 [27OC]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 1090), consideration (H. Res. 491), H7207 [27OC]

Small business: make technical corrections to enhance ability of small and emerging growth companies to access capital markets and reduce regulatory burdens (H.R. 37), consideration (H. Res. 27), H246 [13JA]

Articles and editorials

Kicking Dodd-Frank in the Teeth, H346 [13JA]

Bills and resolutions

Budget: clarify that Public Accounting Oversight Board funding is not subject to the sequester (see S. 548), S1075 [24FE] (see H.R. 1050), H1114 [24FE]

——— clarify that Securities Investor Protection Corp., funding is not subject to the sequester (see S. 549), S1075 [24FE] (see H.R. 1049), H1114 [24FE]

——— clarify that the standard setting body designated pursuant to the Securities Act is not subject to the sequester (see S. 550), S1075 [24FE] (see H.R. 1048), H1114 [24FE]

Business and industry: amend certain securities laws relative to treatment of emerging growth companies (see H.R. 1659), H2108 [26MR] (see H.R. 2064), H2497 [28AP]

——— exempt issuers with certain total market capitalization from auditor attestation requirements for internal control assessments (see H.R. 3891), H7623 [3NO]

——— prohibit mandatory pre-dispute arbitration agreements (see H.R. 1098), H1368 [26FE]

——— refund or credit excess payments made to the Commission (see H.R. 1975), H2417 [22AP]

——— 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 S. 1968), S6380 [5AU] (see H.R. 3226), H5523 [27JY]

——— require disclosure of the total number of a company’s domestic and foreign employees (see H.R. 3811), H7138 [22OC]

Business development companies: allow the owning of certain securities, change capital structure requirements, and revise certain rules (see H.R. 3868), H7389 [2NO]

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. 1954), H2416 [22AP]

Consumers: protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (see H.R. 1090), H1164 [25FE]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 1090), consideration (see H. Res. 491), H7188 [26OC]

Courts: permit private persons to seek legal or equitable remedies in a civil action instead of an administrative proceeding (see H.R. 3798), H7137 [22OC]

Crime: extend statute of limitations for certain securities law violations (see S. 1960), S6380 [5AU]

Federal employees: prevent conflicts of interest by prohibiting bonuses from former private sector employers, increase lobbying prohibitions, and address associations between financial regulators and former clients or employers (see S. 1779), S5129 [15JY] (see H.R. 3065), H5235 [15JY]

Financial institutions: amend securities, commodities, and banking laws to make information reported to financial regulatory agencies electronically searchable (see H.R. 2477), H3505 [20MY]

Financial services and general Government: making appropriations (see S. 1910), S6187 [30JY] (see S. 2132), S7124 [5OC] (see H.R. 2995), H5028 [9JY]

Government regulations: enhance civil penalties under Federal securities laws (see S. 1730), S4953 [9JY]

——— exempt certain transactions involving purchases by credited investors from Securities Act (see H.R. 1839), H2305 [16AP]

——— exempt from registration brokers participating in the transfer of ownership of smaller privately-held companies (see H.R. 686), H755 [3FE]

——— exempt smaller public companies from requirements relating to the use of Extensible Business Reporting Language for periodic reporting (see H.R. 1912), H2354 [21AP] (see H.R. 1965), H2417 [22AP]

——— improve form 10-K and regulation S-K (see H.R. 1525), H1847 [23MR]

——— increase threshold amount for requiring issuers to provide certain disclosures relative to compensatory benefit plans (see S. 576), S1161 [26FE]

——— 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. 1010), S2272 [20AP]

——— repeal a certain reporting requirement (see H.R. 3032), H5088 [10JY]

——— repeal disclosure requirements that allow for comparison of executive compensation to that of other employees (see S. 1722), S4841 [8JY] (see H.R. 414), H430 [20JA]

——— require all transactions of persons subject to accounting principles or standards to be shown on such persons’ balance sheet (see H.R. 1166), H1499 [27FE]

——— review all significant regulations to determine whether such regulations are necessary in the public interest or whether such regulations should be amended or rescinded (see H.R. 2354), H3251 [15MY]

——— revise rules to increase threshold amount for requiring issuers to provide certain disclosures relative to compensatory benefit plans (see H.R. 1675), H2108 [26MR]

Government-Business Forum on Small Business Capital Formation: review (see H.R. 4168), H9010 [3DE]

Information technology: require publicly traded companies to disclose to investors information on cybersecurity risks and presence of cybersecurity experts on the board of trustees (see S. 2410), S8793 [17DE]

Investments: clarify definition of general solicitation under Federal securities law as not applying to events like demo days (see S. 978), S2244 [16AP]

——— protect the investment choices of American investors (see S. 1802), S5170 [16JY] (see H.R. 4216), H9269 [10DE]

——— provide a safe harbor relative to certain investment fund research reports (see H.R. 2356), H3251 [15MY]

——— repeal certain indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities (see H.R. 1847), H2306 [16AP]

Iran: block Iran’s Revolutionary Guard Corps access to global economy, require congressional approval of removal from state sponsors of terrorism list, and impose conditions to normalization of economic relations (see H.R. 4257), H9328 [15DE]

Political campaigns: require shareholder authorization before a public company may make certain political expenditures (see S. 214), S347 [21JA] (see H.R. 446), H479 [21JA]

Political ethics: provide for a temporary employment restriction for ex-employees seeking to work for companies against which the SEC brought enforcement actions that were participated on by such ex-employees (see H.R. 1463), H1801 [19MR]

Proprietary Education Oversight Coordination Committee: establish (see S. 396), S833 [5FE] (see H.R. 747), H852 [5FE]

Public Company Accounting Oversight Board: promote transparency by making disciplinary proceedings open to the public (see S. 1084), S2400 [23AP]

Securities: carry out a pilot program to examine maker-taker pricing (see H.R. 1216), H1565 [3MR]

——— clearly define and statutorily prohibit insider trading (see S. 702), S1438 [11MR] (see H.R. 1625), H2033 [25MR]

——— make shareholder registration threshold for savings and loan holding companies the same as for bank holding companies (see H.R. 1334), H1613 [4MR]

——— require certain reporting by hedge funds that are the beneficial owner of more than 1 percent of a class of security (see H.R. 3921), H7741 [4NO]

——— require that repurchase-to-maturity transactions be treated as secured borrowing (see H.R. 1165), H1499 [27FE]

——— revise regulations relative to the qualifications of natural persons as accredited investors (see H.R. 2187), H2769 [30AP]

——— revise requirements related to assets pledged by a surety (see H.R. 838), H916 [10FE]

Securities and Derivatives Commission: establish (see H.R. 1167), H1499 [27FE]

Small business: establish an Office of the Advocate for Small Business Capital Formation and a Small Business Capital Formation Advisory Committee (see H.R. 3784), H7088 [21OC]

——— make technical corrections to enhance ability of small and emerging growth companies to access capital markets and reduce regulatory burdens (see H.R. 37), H37 [6JA]

——— make technical corrections to enhance ability of small and emerging growth companies to access capital markets and reduce regulatory burdens (H.R. 37), consideration (see H. Res. 27), H223 [12JA]

——— provide smaller public companies with access to capital-raising advantages by eliminating excessive filing requirements and expediting stock registration (see H.R. 2357), H3251 [15MY]

——— revise Form S–1 so as to permit smaller reporting companies to use forward incorporation by reference for such form (see H.R. 1723), H2111 [26MR]

Taxation: exempt certain stock of real estate investment trusts from the tax on foreign investment in U.S. real property interests (see S. 915), S2172 [14AP] (see H.R. 2128), H2767 [30AP]

Letters

Cybersecurity Information Sharing Act: several financial industry organizations, S6258 [4AU]

End user exemptions for certain derivative sales: Representative Conaway, Committee on Agriculture (House), H68 [7JA]

Mortgage Servicing Asset Capital Requirements Act, Holding Company Registration Threshold Equalization Act, and Community Institution Mortgage Relief Act: James C. Ballentine, American Bankers Association, H5139 [14JY]

Promoting Job Creation and Reducing Small Business Burdens Act: Representative Conaway, Committee on Agriculture (House), H75, H77 [7JA], H352 [13JA]

——— Representative Hensarling, Committee on Financial Services (House), H75 [7JA]

Swap Data Repository and Clearinghouse Indemnification Correction Act: Representative Conaway, Committee on Agriculture (House), H5146 [14JY]

——— Representative Hensarling, Committee on Financial Services (House), H5146 [14JY]

Motions

Small business: make technical corrections to enhance ability of small and emerging growth companies to access capital markets and reduce regulatory burdens (H.R. 37), H394 [14JA]

Press releases

Consequences of XBRL Exemption in H.R. 37—Minimal Savings, Reduced Transparency and Access to Capital for Small Companies: XBRL International, Inc., E83 [20JA]

Remarks in House

Business and industry: amend certain securities laws relative to treatment of emerging growth companies (H.R. 2064), H5147–H5149 [14JY]

——— provide regulatory relief to facilitate capital formation and to ensure greater consumer access to financial products and services, H7736, H7737 [4NO]

——— 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. 3226), E1130 [27JY]

Consumers: protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 1090), H7164 [23OC], H7231–H7243, H7244 [27OC], E1556 [28OC], E1567 [2NO]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 1090), consideration (H. Res. 491), H7201–H7207 [27OC]

Government regulations: exempt certain transactions involving purchases by credited investors from Securities Act (H.R. 1839), H6805–H6808 [6OC]

——— exempt smaller public companies from requirements relating to the use of Extensible Business Reporting Language for periodic reporting, H79 [7JA]

——— improve form 10-K and regulation S-K (H.R. 1525), H6804, H6805 [6OC]

——— repeal a certain reporting requirement (H.R. 3032), H8219 [16NO]

Investments: repeal certain indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities, H80 [7JA], H346 [13JA], H3949, H3950 [9JN]

——— repeal certain indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities (H.R. 1847), H5145–H5147 [14JY]

Securities: make shareholder registration threshold for savings and loan holding companies the same as for bank holding companies, H80 [7JA]

——— make shareholder registration threshold for savings and loan holding companies the same as for bank holding companies (H.R. 1334), H5142–H5144 [14JY]

——— provide end user exemptions for certain derivative sales, H67, H76 [7JA], H345 [13JA]

Small business: make technical corrections to enhance ability of small and emerging growth companies to access capital markets and reduce regulatory burdens (H.R. 37), H71–H82 [7JA], H182 [9JA], H341–H354 [13JA], H361 [14JA], E41 [9JA], E76 [16JA], E83 [20JA], E126 [27JA]

——— make technical corrections to enhance ability of small and emerging growth companies to access capital markets and reduce regulatory burdens (H.R. 37), consideration (H. Res. 27), H237–H248 [13JA]

——— make technical corrections to enhance ability of small and emerging growth companies to access capital markets and reduce regulatory burdens (H.R. 37), motion to recommit, H394 [14JA]

——— revise Form S–1 so as to permit smaller reporting companies to use forward incorporation by reference for such form (H.R. 1723), H5144, H5145 [14JY]

Terrorism: prohibit anyone convicted of providing assistance to a terrorist organization from the economic benefits of reduced burdens of capital markets, H394 [14JA]

Remarks in Senate

Crime: extend statute of limitations for certain securities law violations (S. 1960), S6386 [5AU]

Financial institutions: establish a deficit-neutral reserve fund to end ‘‘too big to fail’’ bailouts for Wall Street mega-banks, S2011 [26MR], S2200, S2208 [15AP]

Financial services and general Government: making appropriations, S5448 [22JY]

——— making appropriations (S. 2132), S7127 [5OC], S7130 [6OC]

Government regulations: enhance civil penalties under Federal securities laws (S. 1730), S4956 [9JY]

——— repeal disclosure requirements that allow for comparison of executive compensation to that of other employees (S. 1722), S4930 [9JY]

Information technology: require publicly traded companies to disclose to investors information on cybersecurity risks and presence of cybersecurity experts on the board of trustees (S. 2410), S8795 [17DE]

Public Company Accounting Oversight Board: promote transparency by making disciplinary proceedings open to the public (S. 1084), S2405 [23AP]

Securities: clearly define and statutorily prohibit insider trading (S. 702), S1440 [11MR]

——— provide end user exemptions for certain derivative sales, S74–S77, S81–S85 [8JA]

Reports

End User Exemptions for Certain Derivative Sales: Committee on Agriculture (House) (excerpt), H68, H77–H79 [7JA], H352–H354 [13JA]

Reports filed

Consideration of H.R. 37, Promoting Job Creation and Reducing Small Business Burdens Act: Committee on Rules (House) (H. Res. 27) (H. Rept. 114–2), H223 [12JA]

Consideration of H.R. 1090, Retail Investor Protection Act: Committee on Rules (House) (H. Res. 491) (H. Rept. 114–313), H7188 [26OC]

Disclosure Modernization and Simplification Act: Committee on Financial Services (House) (H.R. 1525) (H. Rept. 114–279), H6834 [6OC]

Financial Services and General Government Appropriations: Committee on Appropriations (House) (H.R. 2995) (H. Rept. 114–194), H5028 [9JY]

——— Committee on Appropriations (Senate) (S. 1910) (S. Rept. 114–97), S6186 [30JY]

Holding Company Registration Threshold Equalization Act: Committee on Financial Services (House) (H.R. 1334) (H. Rept. 114–200), H5171 [14JY]

Improving Access to Capital for Emerging Growth Companies Act: Committee on Financial Services (House) (H.R. 2064) (H. Rept. 114–203), H5171 [14JY]

Real Estate Investment and Jobs Act: Committee on Finance (Senate) (S. 915) (S. Rept. 114–25), S2171 [14AP]

Reforming Access for Investments in Startup Enterprises (RAISE) Act: Committee on Financial Services (House) (H.R. 1839) (H. Rept. 114–281), H6834 [6OC]

Retail Investor Protection Act: Committee on Financial Services (House) (H.R. 1090) (H. Rept. 114–304), H7137 [22OC]

SEC Reporting Modernization Act: Committee on Financial Services (House) (H.R. 3032) (H. Rept. 114–337), H8239 [16NO]

Small Company Simple Registration Act: Committee on Financial Services (House) (H.R. 1723) (H. Rept. 114–201), H5171 [14JY]

Swap Data Repository and Clearinghouse Indemnification Correction Act: Committee on Financial Services (House) (H.R. 1847) (H. Rept. 114–202), H5171 [14JY]

Statements

Retail Investor Protection Act: Several Organizations, H7234 [27OC]

Texts of

H. Res. 27, consideration of H.R. 37, Promoting Job Creation and Reducing Small Business Burdens Act, H.R. 185, Regulatory Accountability Act, and H.R. 240, Dept. of Homeland Security appropriations, H237 [13JA]

H. Res. 491, consideration of H.R. 1090, Retail Investor Protection Act, H7201 [27OC]

H.R. 37, Promoting Job Creation and Reducing Small Business Burdens Act, H71–H74 [7JA], H341–H344 [13JA]

H.R. 1090, Retail Investor Protection Act, H7231 [27OC]

H.R. 1334, Holding Company Registration Threshold Equalization Act, H5142 [14JY]

H.R. 1525, Disclosure Modernization and Simplification Act, H6804 [6OC]

H.R. 1723, Small Company Simple Registration Act, H5144 [14JY]

H.R. 1839, Reforming Access for Investments in Startup Enterprises (RAISE) Act, H6806 [6OC]

H.R. 1847, Swap Data Repository and Clearinghouse Indemnification Correction Act, H5145 [14JY]

H.R. 2064, Improving Access to Capital for Emerging Growth Companies Act, H5147 [14JY]

H.R. 3032, SEC Reporting Modernization Act, H8219 [16NO]

S. 396, Proprietary Education Oversight Coordination Improvement Act, S834–S836 [5FE]