SECURITIES EXCHANGE ACT

Amendments

SEC: 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]

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 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]

CFTC: specify how clearing requirements apply to certain affiliate transactions (see S. 876), S2040 [26MR] (see H.R. 1317), H1613 [4MR]

Financial institutions: provide specific credit risk retention requirements to certain qualifying collateralized loan obligations (see H.R. 4166), H9010 [3DE]

Investments: 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]

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]

SEC: 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]

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

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

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

——— 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]

——— 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]

——— 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]

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

Securities: clearly define and statutorily prohibit insider trading (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]

——— prohibit trading on material inside information (see H.R. 1097), H1368 [26FE] (see H.R. 1173), H1499 [27FE]

Letters

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]

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]

Remarks in House

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 (H.R. 3226), E1130 [27JY]

CFTC: ensure certain interaffiliate transactions are not regulated as swaps, H345 [13JA]

——— specify how clearing requirements apply to certain affiliate transactions (H.R. 1317), H8219–H8221 [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]

SEC: 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]

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

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]

Remarks in Senate

Securities: 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

CFTC Specification of How Clearing Requirements Apply to Certain Affiliate Transactions: Committee on Agriculture (House) (H.R. 1317) (H. Rept. 114–311), H7188 [26OC]

——— Committee on Financial Services (House) (H.R. 1317) (H. Rept. 114–311), H8238 [16NO]

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

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

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]

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

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

H.R. 1317, CFTC specification of how clearing requirements apply to certain affiliate transactions, H8219 [16NO]

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

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

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