SECURITIES AND EXCHANGE COMMISSION

Amendments

Public Company Accounting Oversight Board: exclude privately held, non-custody brokers and dealers that are in good standing from certain requirements (S. 3004), S6193 [17SE]

Appointments

Conferees: H.R. 6147, Dept. of the Interior, environment, and related agencies and financial services and general Government appropriations, S6101 [6SE], H7900 [6SE]

Bills and resolutions

Budget: exempt Public Accounting Oversight Board funding from sequester (see S. 2817), S2623 [10MY]

——— exempt Securities Investor Protection Corp., funding from sequester (see S. 2816), S2623 [10MY]

——— exempt standard setting body designated pursuant to the Securities Act from sequester (see S. 2818), S2623 [10MY]

Business and industry: change quarterly reporting requirement for certain registered securities to a semi-annual requirement (see H.R. 6918), H9089 [26SE]

——— expand ability to use testing the waters and confidential draft registration submissions (see S. 2347), S520 [25JA]

——— implement rules simplifying the quarterly financial reporting regime (see S. 3575), S6815 [11OC] (see H.R. 5970), H4729 [24MY]

——— repeal rule making open market stock repurchases by public companies easier and require percentage of company boards to be picked by employees (see S. 2605), S1947 [22MR] (see H.R. 6096), H5152 [13JN]

——— 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. 7089), H9443 [23OC]

——— require disclosure of payments for settlements of disputes regarding sexual abuse and certain types of harassment and discrimination (see S. 2454), S1243 [27FE] (see H.R. 5028), H1178 [14FE]

——— require issuers with a multi-class stock structure to make certain disclosures in any proxy or consent solicitation material (see H.R. 6322), H6041 [10JY]

Business development companies: allow the owning of certain securities, change capital structure requirements, and revise certain rules (see S. 2324), S300 [18JA]

CFTC: study and report on prevention of virtual currency price manipulation (see H.R. 7224), H9767 [6DE]

——— study and report on state of global virtual currency markets and ways to promote U.S. competitiveness (see H.R. 7225), H9767 [6DE]

Climate: require issuers to disclose certain activities relative to climate change (see S. 3481), S6277 [24SE]

Corporations: prohibit large employers from buying back stock unless employees are paid above a certain amount and allowed to earn paid sick leave, and no executive earns more than 150 times median employee pay (see S. 3640), S7050 [15NO] (see H.R. 7145), H9567 [16NO]

Crime: provide for exclusive Federal jurisdiction over civil securities fraud actions (see H.R. 5037), H1211 [15FE]

Financial institutions: prohibit requirement of compliance with Financial Accounting Standards Board current expected credit loss (CECL) standard and require SEC consideration of impacts of proposed accounting principles (see H.R. 7394), H10586 [21DE]

Financial services and general Government: making appropriations (see S. 3107), S4343 [21JN] (see H.R. 6258), H5973 [28JN]

Firearms: require issuers to disclose in an annual report any substantial financial relationship with any manufacturer or dealer of firearms or ammunition (see H.R. 5106), H1332 [27FE]

Fundraising: provide jurisdiction over crowdfunding vehicles (see S. 3213), S4965 [16JY] (see H.R. 6380), H6262 [16JY]

Government regulations: adjust certain resubmission thresholds for shareholder proposals (see H.R. 5756), H3929 [10MY]

——— create a safe harbor for finders and private placement brokers (see H.R. 6127), H5224 [15JN]

——— exempt from registration brokers participating in the transfer of ownership of smaller privately-held companies (see S. 3518), S6355 [27SE]

——— extend certain exemptions and reduced disclosure requirements for companies that were emerging growth companies and would continue to be emerging growth companies if not for certain restrictions (see H.R. 6130), H5224 [15JN]

——— prohibit from compelling a person to produce or furnish algorithmic trading source code or similar intellectual property without issuance of a subpoena (see S. 3733), S7385 [10DE]

——— provide complaint and burden of proof requirements for certain actions for breach of fiduciary duty (see H.R. 4738), H18 [8JA]

——— remove limitation on large accelerated filers qualifying as an emerging growth company (see H.R. 6049), H5020 [8JN]

——— require certain issuers to disclose information on foreign jurisdictions that prevent the Public Company Accounting Oversight Board from performing inspections (see H.R. 7234), H9819 [10DE]

——— revise shareholder threshold for registration under Securities Exchange Act (see H.R. 5051), H1212 [15FE]

——— revise shareholder threshold for registration under Securities Exchange Act for issuers that receive support through certain Federal universal service support mechanisms (see S. 3650), S7051 [15NO] (see H.R. 6745), H7941 [7SE]

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 H.R. 6638), H7732 [27JY]

Investment Advisers Act: revise definitions of ‘‘small business’’ and ‘‘small organization’’ to assess impact of rulemakings (see S. 3579), S6815 [11OC]

Investments: carry out a study to evaluate issues affecting provision of and reliance upon investment research into small issuers (see S. 3578), S6815 [11OC] (see H.R. 6139), H5284 [19JN]

——— carry out study of direct and indirect underwriting fees, including gross spreads, for mid-sized initial public offerings (see H.R. 6324), H6041 [10JY]

——— clarify definition and regulation of digital tokens and tax treatment of virtual currency (see H.R. 7356), H10509 [20DE]

——— exempt from registration certain accredited investor transactions within transparent secondary markets (see H.R. 4971), H974 [7FE]

——— exempt investment advisers who solely advise certain rural business investment companies from certain regulations (see S. 2765), S2484 [26AP]

——— require investment advisers who advise a private fund that owns an emergency services company to disclose average response times of emergency vehicles deployed by such company in response to 9-1-1 calls (see H.R. 6155), H5285 [19JN]

——— revise definitions of a qualifying portfolio company and a qualifying investment to include emerging growth companies and their equity securities to exempt venture capital fund advisers from registration (see S. 3576), S6815 [11OC] (see H.R. 6177), H5505 [21JN]

Municipal Securities Rulemaking Board: increase transparency (see H.R. 5614), H3574 [25AP]

Pharmaceuticals: require certain additional disclosure by pharmaceutical companies relative to the Tax Cuts and Jobs Act (see S. 2885), S2773 [17MY]

Political campaigns: issue regulations to require public corporations to disclose political expenditures (see H.R. 5670), H3746 [1MY]

Privacy: prohibit consolidated audit trail from accepting personally identifying information (see H.R. 4785), H172 [12JA]

Proxy advisory firms: require registration as investment advisers (see S. 3614), S6924 [13NO]

Public Company Accounting Oversight Board: exclude privately held, non-custody brokers and dealers that are in good standing from certain requirements (see S. 3004), S3034 [6JN] (see H.R. 6021), H4848 [6JN]

——— increase transparency (see H.R. 5614), H3574 [25AP]

Securities: extend registration exemption to communications made by underwriters and dealers acting by or on behalf of a well-known seasoned issuer (see H.R. 5999), H4775 [5JN] (see H.R. 6035), H4979 [7JN]

——— revise regulations relative to the qualifications of natural persons as accredited investors (see S. 2756), S2440 [25AP]

——— study rule 10b5-1 trading plans relative to the definition of insider trading (see H.R. 6320), H6040 [10JY]

Senior Investor Taskforce: establish (see S. 3323), S5582 [1AU] (see H.R. 6323), H6041 [10JY]

Small business: allow for registration of venture exchanges (see S. 3723), S7356 [6DE] (see H.R. 5877), H4242 [18MY]

——— exempt emerging growth companies and other smaller companies from requirements to use Extensible Business Reporting Language for periodic reporting (see H.R. 5054), H1212 [15FE]

——— expand access to capital for rural small businesses (see S. 2953), S2923 [24MY]

——— expand access to capital for small businesses affected by hurricanes or other natural disasters (see H.R. 4792), H172 [12JA]

——— revise definitions of a ‘‘small business’’ and ‘‘small organization’’ to assess impact of the Commission’s rulemakings under the Investment Advisers Act (see H.R. 6321), H6040 [10JY]

——— study the 10 per centum threshold limitation applicable to the definition of a diversified company (see H.R. 6319), H6040 [10JY]

Cloture motions

Roisman, Elad L.: nomination to the SEC, S6005 [28AU], S6021 [4SE]

Letters

Financial CHOICE Act: several State Attorneys General, H1139 [14FE]

Financial services regulations reform: Americans for Financial Reform (organization), H1160 [14FE]

——— Barbara Roper and Micah Hauptman, Consumer Federation of America, H1165 [14FE]

——— Bill Killmer, Mortgage Bankers Association, H1161 [14FE]

——— Public Citizen (organization), H1159 [14FE]

SEC investigation into allegations of insider trading by Carl Ichan relative to sale of steel-related stock prior to announcement of plans to impose tariffs on steel and aluminum imports: Representative Gutierrez, H1612 [15MR]

Remarks in House

Business and industry: expand ability to use testing the waters and confidential draft registration submissions, H6312 [17JY], H9736 [29NO]

——— implement rules simplifying the quarterly financial reporting regime, H6308 [17JY]

——— implement rules simplifying the quarterly financial reporting regime (H.R. 5970), H6013–H6015 [10JY], H6046 [11JY]

——— provide that the definition of a facility of an exchange does not apply to a line of business the purpose of which is not to effect or report a transaction on an exchange, H6308 [17JY]

——— revise any rules necessary to enable closed-end companies to use securities offering and proxy rules that are available to other issuers of securities (H.R. 4279), H183–H185 [16JA]

Financial institutions: end too-big-to-fail and taxpayer bailouts, increase access to capital and credit, repeal provisions of Wall Street Reform and Consumer Protection Act, and provide economic growth, H6382 [17JY]

——— restore FRS authority to stress test nonbanks under certain conditions, allow alternatives to capital for stress tests of nonbanks, and broaden SEC and CFTC authority to require internal testing for certain entities, H1713, H1714, H1716, H1717 [20MR]

Financial services and general Government: making appropriations, H6272, H6275–H6282, H6344–H6461 [17JY], H6477, H6530–H6554 [18JY], H6569–H6572 [19JY], H7894–H7896 [6SE]

Government regulations: codify certain qualifications of individuals as accredited investors for purposes of securities laws, H6311 [17JY]

——— exempt from registration brokers participating in the transfer of ownership of smaller privately-held companies, H6307 [17JY]

——— increase threshold amount for requiring issuers to provide certain disclosures relative to employee stock compensatory benefit plans (S. 488), H6295–H6312 [17JY], H9695, H9733, H9735–H9738 [29NO], E1052 [24JY]

——— prohibit from compelling a person to produce or furnish algorithmic trading proprietary source code or similar intellectual property without issuance of a subpoena, H1165, H1166 [14FE]

——— prohibit from compelling a person to produce or furnish algorithmic trading source code or similar intellectual property without issuance of a subpoena, H1143, H1156–H1162 [14FE]

——— require disclosure of corporate political spending, H6535, H6536 [18JY]

——— specify when a nationally traded security is exempt from State regulation of security offerings, H1141, H1143, H1156, H1157, H1161 [14FE]

Icahn, Carl: call for SEC to investigate allegations of insider trading relative to sale of steel-related stock prior to announcement of plans to impose tariffs on steel and aluminum imports, H1611 [15MR]

Information technology: require certain entities to develop internal risk control mechanisms to safeguard and govern the storage of market data (H.R. 3973), H3352 [17AP], H9735 [29NO]

Investments: carry out a study to evaluate issues affecting provision of and reliance upon investment research into small issuers, H6307 [17JY]

——— carry out a study to evaluate issues affecting provision of and reliance upon investment research into small issuers (H.R. 6139), H5997, H5998 [10JY]

——— carry out study of direct and indirect underwriting fees, including gross spreads, for mid-sized initial public offerings, H6307, H6308 [17JY]

——— clarify definition of general solicitation under Federal securities law as not applying to events like demo days, H6306, H6308, H6310 [17JY]

——— clarify that family offices and family clients are accredited investors, H6307 [17JY]

——— exempt investment advisers who solely advise certain rural business investment companies from certain regulations (S. 2765), H10416 [20DE]

——— expand the investor limitation for qualifying venture capital funds under an exemption from the definition of an investment company, H4343 [22MY]

——— provide a safe harbor relative to certain investment fund research reports (H.R. 910), E1586 [30NO]

——— require review of annual Government-business forum on capital formation, H4347 [22MY]

Securities: revise regulations relative to the qualifications of natural persons as accredited investors, H6307 [17JY]

——— study rule 10b5-1 trading plans relative to the definition of insider trading, H6307 [17JY]

Small business: allow for registration of venture exchanges (H.R. 5877), H6003–H6005 [10JY]

——— expand access to capital for rural small businesses, H648–H650 [29JA]

——— expand access to capital for small businesses affected by hurricanes or other natural disasters (H.R. 4792), H654 [29JA]

——— study the 10 per centum threshold limitation applicable to the definition of a diversified company, H6309 [17JY]

Remarks in Senate

Business and industry: grant authority to reject certain corporate stock buyback offers, S1531 [8MR]

Congress: accomplishments of the 115th Congress, S232–S234 [17JA]

Economy: corporate profits versus economic well-being of the populace, S1759 [15MR]

Financial services and general Government: making appropriations, S5123–S5126 [23JY], S5227, S5230–S5237, S5240, S5241, S5245–S5249 [24JY], S5315–S5317, S5327, S5342, S5351 [25JY], S5394, S5399 [26JY], S5466, S5468, S5469, S5496–S5499 [31JY], S5527–S5531, S5533–S5539, S5573 [1AU], S6045 [6SE]

——— making appropriations (S. 3107), S6203 [18SE]

Government regulations: require disclosure of corporate political spending, S5573 [1AU]

Investments: exempt investment advisers who solely advise certain rural business investment companies from certain regulations (S. 2765), S6881, S6882 [11OC]

Proxy advisory firms: require registration as investment advisers (S. 3614), S6927 [13NO]

Roisman, Elad L.: nomination to the SEC, S6019, S6026 [4SE], S6035 [5SE]

Reports filed

Accelerating Access to Capital Act: Committee on Financial Services (House) (H.R. 4529) (H. Rept. 115–576), H1226 [23FE]

Access to Capital Creates Economic Strength and Supports (ACCESS) Rural America Act: Committee on Financial Services (House) (H.R. 6745) (H. Rept. 115–1077), H10168 [12DE]

American Customer Information Protection Act: Committee on Financial Services (House) (H.R. 4785) (H. Rept. 115–663), H3781 [7MY]

Consideration of H.R. 6147, Dept. of the Interior, Environment, and Related Agencies and Financial Services and General Government Appropriations: Committee on Rules (House) (H. Res. 996) (H. Rept. 115–830), H6262 [16JY]

Consumer Financial Choice and Capital Markets Protection Act: Committee on Financial Services (House) (H.R. 2319) (H. Rept. 115–903), H7772 [24AU]

Developing and Empowering Our Aspiring Leaders Act: Committee on Financial Services (House) (H.R. 6177) (H. Rept. 115–889), H7742 [3AU]

Due Process Restoration Act: Committee on Financial Services (House) (H.R. 2128) (H. Rept. 115–1118), H10609 [2JA]

Enhancing Multi-Class Stock Disclosures Act: Committee on Financial Services (House) (H.R. 6322) (H. Rept. 115–879), H7734 [31JY]

Exchange Regulatory Improvement Act: Committee on Financial Services (House) (H.R. 3555) (H. Rept. 115–883), H7742 [3AU]

Expanding Access to Capital for Rural Job Creators Act: Committee on Financial Services (House) (H.R. 4281) (H. Rept. 115–531), H676 [29JA]

Expanding Investment in Small Businesses Act: Committee on Financial Services (House) (H.R. 6319) (H. Rept. 115–878), H7734 [31JY]

Expanding Investment Opportunities Act: Committee on Financial Services (House) (H.R. 4279) (H. Rept. 115–517), H403 [16JA]

Financial Services and General Government Appropriations: Committee on Appropriations (House) (H.R. 6258) (H. Rept. 115–792), H5973 [28JN]

——— Committee on Appropriations (Senate) (S. 3107) (S. Rept. 115–281), S4343 [21JN]

Helping Startups Continue To Grow Act: Committee on Financial Services (House) (H.R. 6130) (H. Rept. 115–1076), H10168 [12DE]

Improving Investment Research for Small and Emerging Issuers Act: Committee on Financial Services (House) (H.R. 6139) (H. Rept. 115–808), H6040 [10JY]

Investment Adviser Regulatory Flexibility Improvement Act: Committee on Financial Services (House) (H.R. 6321) (H. Rept. 115–884), H7742 [3AU]

Main Street Growth Act: Committee on Financial Services (House) (H.R. 5877) (H. Rept. 115–807), H6040 [10JY]

Middle Market IPO Underwriting Cost Act: Committee on Financial Services (House) (H.R. 6324) (H. Rept. 115–887), H7742 [3AU]

Modernizing Disclosures for Investors Act: Committee on Financial Services (House) (H.R. 5970) (H. Rept. 115–811), H6040 [10JY]

Mutual Fund Litigation Reform Act: Committee on Financial Services (House) (H.R. 4738) (H. Rept. 115–662), H3781 [7MY]

National Senior Investor Initiative Act: Committee on Financial Services (House) (H.R. 6323) (H. Rept. 115–886), H7742 [3AU]

Nomination of Elad L. Roisman to the SEC: Committee on Banking, Housing, and Urban Affairs (Senate), S5931 [23AU]

Promoting Transparent Standards for Corporate Insiders Act: Committee on Financial Services (House) (H.R. 6320) (H. Rept. 115–891), H7742 [3AU]

Protecting Advice for Small Savers (PASS) Act: Committee on Financial Services (House) (H.R. 3857) (H. Rept. 115–894), H7750 [10AU]

Protection of Source Code Act: Committee on Financial Services (House) (H.R. 3948) (H. Rept. 115–549), H1074 [8FE]

Public Company Registration Threshold Act: Committee on Financial Services (House) (H.R. 5051) (H. Rept. 115–888), H7742 [3AU]

Repeal Certain SEC Disclosure Requirements Relative to Coal and Mine Safety: Committee on Financial Services (House) (H.R. 4289) (H. Rept. 115–571), H1220 [20FE]

Repeal Certain SEC Disclosure Requirements Relative to Conflict Minerals: Committee on Financial Services (House) (H.R. 4248) (H. Rept. 115–570), H1220 [20FE]

SEC Adjustment of Certain Resubmission Thresholds for Shareholder Proposals: Committee on Financial Services (House) (H.R. 5756) (H. Rept. 115–904), H7772 [24AU]

SEC Disclosure Requirements Relative to Resource Extraction Repeal: Committee on Financial Services (House) (H.R. 4519) (H. Rept. 115–500), H82 [9JA]

Small Business Access to Capital After a Natural Disaster Act: Committee on Financial Services (House) (H.R. 4792) (H. Rept. 115–529), H676 [29JA]

Small Business Audit Correction Act: Committee on Financial Services (House) (H.R. 6021) (H. Rept. 115–1075), H10168 [12DE]

Small Business Credit Availability Act: Committee on Financial Services (House) (H.R. 4267) (H. Rept. 115–646), H3505 [24AP]

Small Company Disclosure Simplification Act: Committee on Financial Services (House) (H.R. 5054) (H. Rept. 115–1094), H10586 [21DE]

Streamlining Communications for Investors Act: Committee on Financial Services (House) (H.R. 6035) (H. Rept. 115–1009), H9462 [2NO]

Tables

Dept. of the Interior, environment, and related agencies and financial services and general Government appropriations (H.R. 6147), H6346–H6378 [17JY]

Texts of

H. Res. 996, consideration of H.R. 6147, Dept. of the Interior, environment, and related agencies and financial services and general Government appropriations, H6274 [17JY]

H.R. 4279, Expanding Investment Opportunities Act, H183 [16JA]

H.R. 4792, Small Business Access to Capital After a Natural Disaster Act, H654 [29JA]

H.R. 5877, Main Street Growth Act, H6003 [10JY]

H.R. 5970, Modernizing Disclosures for Investors Act, H6013 [10JY]

H.R. 6139, Improving Investment Research for Small and Emerging Issuers Act, H5997 [10JY]

H.R. 6147, Dept. of the Interior, environment, and related agencies and financial services and general Government appropriations, H6383–H6434 [17JY]

S. 488, JOBS and Investor Confidence Act, H6295–H6306 [17JY]

S. 2765, RBIC Advisers Relief Act, S6882 [11OC], H10416 [20DE]