SECURITIES AND EXCHANGE COMMISSION

Amendments

Business and industry: require disclosure of the total number of a company’s domestic and foreign employees (H.R. 3624), H8238, H8239 [18OC]

——— require disclosure of the total number of a company’s domestic and foreign employees (H.R. 3624), consideration (H. Res. 629), H8157 [16OC]

Crime: prohibit certain securities trading and related communications by those who possess material, nonpublic information to prevent insider trading (H.R. 2534), H9275, H9276 [5DE]

——— prohibit certain securities trading and related communications by those who possess material, nonpublic information to prevent insider trading (H.R. 2534), consideration (H. Res. 739), H9235 [4DE]

Financial services and general Government: making appropriations (H.R. 3351), H5130, H5131, H5132, H5133, H5134, H5135, H5136 [25JN], H5177, H5179, H5180, H5183, H5184, H5185, H5186, H5187, H5188, H5196 [26JN]

——— making appropriations (H.R. 3351), consideration (H. Res. 460), H5099 [25JN]

Government regulations: require conduct of investor testing, including a survey and interviews of retail investors, when developing rules and regulations about disclosures to retail investors (H.R. 1815), H8216, H8217, H8218, H8219 [17OC]

——— require conduct of investor testing, including a survey and interviews of retail investors, when developing rules and regulations about disclosures to retail investors (H.R. 1815), consideration (H. Res. 629), H8157 [16OC]

Bills and resolutions

Budget: exempt standard setting body designated pursuant to the Securities Act from sequester (see S. 392), S1132 [7FE]

Business and industry: expand ability to use testing the waters and confidential draft registration submissions to encourage initial public offerings (see S. 536), S1436 [25FE]

——— implement rules simplifying the quarterly financial reporting regime (see H.R. 4076), H7467 [25JY]

——— prohibit mandatory pre-dispute arbitration agreements (see S. 2992), S6888 [5DE] (see H.R. 5336), H9346 [6DE]

——— repeal rule making open market stock repurchases by public companies easier and require percentage of company boards to be picked by employees (see S. 915), S2043 [27MR] (see H.R. 3355), H4917 [19JN]

——— require corporations to publicly disclose financial reporting on a country-by-country basis to provide transparency on use of tax havens or offshoring jobs (see S. 1609), S3059 [22MY]

——— require disclosure of the total number of a company’s domestic and foreign employees (see S. 1843), S3476 [13JN] (see H.R. 3624), H5272 [5JY]

——— require disclosure of the total number of a company’s domestic and foreign employees (H.R. 3624), consideration (see H. Res. 629), H8142 [15OC]

——— require public companies to disclose gender, race, ethnicity, and veteran status of their board directors, nominees, and senior executive officers (see S. 360), S919 [6FE] (see H.R. 1018), H1391 [6FE] (see H.R. 5084), H8877 [14NO]

——— require publicly traded companies to disclose policies on whether senior executives or shareholders bear the burden of paying company fines and penalties (see S. 1885), S3651 [18JN] (see H.R. 4320), H7705 [12SE]

CFTC: study and report on prevention of virtual currency price manipulation (see H.R. 922), H1335 [30JA]

——— study and report on state of global virtual currency markets and ways to promote U.S. competitiveness (see H.R. 923), H1335 [30JA]

CFTC and SEC: modify whistleblower incentives and protections (see S. 2529), S5628 [23SE] (see H.R. 4816), H8455 [23OC]

Climate: require issuers to disclose certain activities and risks relative to climate change (see S. 2075), S4773 [10JY] (see H.R. 3623), H5272 [5JY]

Corporations: allow use of funds to ensure that shareholders of corporations have knowledge of corporation political activity (see H.R. 1176), H1581 [13FE]

——— require shareholder authorization before a public company may make certain political expenditures (see S. 1630), S3104 [23MY] (see H.R. 4491), H7989 [25SE]

Courts: permit private persons to seek sanctions by filing civil actions (see H.R. 1259), H2031 [14FE]

Crime: prohibit certain securities trading and related communications by those who possess material, nonpublic information to prevent insider trading (see H.R. 2534), H3473 [7MY]

Dept. of the Treasury: modernize and strengthen criminal laws against money laundering and financing of terrorism (see S. 2563), S5747 [26SE]

Financial Accounting Standards Board: issue rule on adoption of accounting principles and require the Board to consider impact such principles will have on the economy, market stability, and credit availability (see H.R. 4565), H8080 [27SE]

Financial institutions: amend securities, commodities, and banking laws to make information reported to financial regulatory agencies electronically searchable and enable regulatory technology (RegTech) applications (see H.R. 4476), H7901 [24SE]

Financial services and general Government: making appropriations (see S. 2524), S5602 [19SE] (see H.R. 264), H280 [8JA] (see H.R. 3351), H4916 [19JN]

——— making appropriations (H.R. 264), consideration (see H. Res. 28), H280 [8JA]

——— making appropriations (H.R. 3351), consideration (see H. Res. 460), H5074 [24JN]

Firearms: require public companies to disclose in an annual report any substantial financial relationship with any manufacturer or dealer of firearms or ammunition (see H.R. 2364), H3283 [25AP]

Fundraising: provide jurisdiction over crowdfunding vehicles (see H.R. 4860), H8538 [28OC]

Gender Diversity Advisory Group: establish (see H.R. 3279), H4694 [13JN]

Government regulations: adjust certain resubmission thresholds for shareholder proposals (see H.R. 3088), H4312 [4JN]

——— carry out a study of 10b5-1 trading plans which allow insiders of publicly traded corporations to sell stocks they own (see S. 573), S1539 [27FE]

——— carry out a study with certain Federal agencies on accounting standards (see S. 1564), S3004 [21MY] (see H.R. 3182), H4388 [10JN]

——— codify certain qualifications of individuals as accredited investors for purposes of securities laws (see H.R. 4762), H8258 [18OC]

——— create a safe harbor for finders and private placement brokers (see H.R. 3768), H5910 [16JY]

——— enhance civil penalties under Federal securities laws (see S. 1854), S3476 [13JN] (see H.R. 3641), H5302 [9JY]

——— establish a statute of limitations for certain actions (see H.R. 3701), H5726 [11JY]

——— exempt from registration brokers participating in the transfer of ownership of smaller privately-held companies (see H.R. 609), H675 [16JA]

——— 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. 4918), H8677 [30OC]

——— issue rules requiring private funds to publicly disclose certain information (see S. 2155), S4907 [17JY] (see H.R. 3848), H7150 [18JY]

——— issue rules to prohibit officers and directors of certain companies from trading securities in anticipation of a current report (see S. 2488), S5539 [17SE] (see H.R. 4335), H7714 [16SE]

——— promulgate regulations on disclosure of certain commercial data (see S. 1951), S4504 [25JN]

——— regulate managed stablecoins under securities laws (see H.R. 5197), H9120 [20NO]

——— require certain issuers to disclose information on foreign jurisdictions that prevent the Public Company Accounting Oversight Board from performing inspections (see S. 945), S2088 [28MR]

——— require conduct of investor testing, including a survey and interviews of retail investors, when developing rules and regulations about disclosures to retail investors (see H.R. 1815), H2754 [18MR]

——— require issuers to disclose information on pay raises made to executives and non-executive employees (see H.R. 4242), H7535 [6SE]

——— revise shareholder threshold for registration under Securities Exchange Act for issuers that receive support through certain Federal universal service support mechanisms (see S. 1502), S2923 [16MY]

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. 592), S1593 [28FE] (see H.R. 1731), H2716 [13MR]

Investments: carry out a study to evaluate issues affecting provision of and reliance upon investment research into small issuers (see H.R. 2919), H4118 [22MY]

——— clarify definition and regulation of digital tokens and tax treatment of virtual currency (see H.R. 2144), H3215 [9AP]

——— protect investment choices by allowing money market funds to elect to be stable value funds if they meet certain criteria and would be exempt from default liquidity fee requirements (see S. 733), S1762 [11MR] (see H.R. 4492), H7989 [25SE]

——— revise rules on general solicitation or general advertising to allow for presentations or other communication made by or on behalf of an issuer at certain events (see S. 1063), S2294 [8AP] (see H.R. 1909), H2884 [27MR]

Municipal Securities Rulemaking Board: require SEC confirmation of new members and members to be at least 5 years removed from association with municipal securities business and set compensation caps (see S. 1236), S2515 [30AP]

North American Securities Administrators Association: commend role of State securities regulators in protecting and educating investors and promoting capital formation and urge continued collaboration with SEC (see H. Res. 456), H5037 [21JN]

Political campaigns: issue regulations to require public corporations to disclose political expenditures (see H.R. 1053), H1459 [7FE]

Proxy advisory firms: improve quality to protect investors and the economy and to foster accountability, transparency, responsiveness, and competition in the industry (see H.R. 5116), H8908 [15NO]

Public Company Accounting Oversight Board: exclude privately held, non-custody brokers and dealers that are in good standing from certain requirements (see S. 2724), S6242 [29OC]

——— exempt funding from budget sequester (see S. 391), S1132 [7FE]

——— increase oversight of foreign companies listed on U.S. securities exchanges and delist firms that are out of compliance with U.S. regulators (see S. 1731), S3251 [5JN] (see H.R. 3124), H4342 [5JN]

——— promote transparency by making disciplinary proceedings open to the public (see S. 1256), S2516 [30AP]

Securities: clarify authority to seek disgorgement and restitution claims for defrauded investors (see H.R. 4344), H7753 [17SE]

——— clarify authority to seek disgorgement and restitution claims for defrauded investors and extend statute of limitations (see S. 799), S1898 [14MR]

——— study rule 10b5-1 trading plans relative to the definition of insider trading (see H.R. 624), H675 [16JA]

Securities Investor Protection Corp.: exempt funding from budget sequester (see S. 390), S1132 [7FE]

Senior Investor Taskforce: establish (see S. 1719), S3250 [5JN] (see H.R. 1876), H2826 [26MR]

Small business: allow for registration of venture exchanges (see S. 2306), S5141 [29JY] (see H.R. 2899), H4117 [22MY]

——— expand access to capital for rural small businesses (see S. 566), S1493 [26FE] (see H.R. 2409), H3339 [30AP]

——— revise definitions of ‘‘small business’’ and ‘‘small organization’’ to assess impact of rulemakings under the Investment Advisers Act (see H.R. 2436), H3403 [1MY]

——— study the 10 per centum threshold limitation applicable to the definition of a diversified company (see H.R. 3050), H4180 [30MY]

Taxation: impose a financial transaction tax on trading of stocks, bonds and derivatives and invest such funds in domestic priorities (see S. 1587), S3058 [22MY] (see H.R. 2923), H4118 [22MY]

Whistleblowing: amend definition of whistleblower (see H.R. 2515), H3447 [3MY]

Letters

Invester Protection and Capital Markets Fairness Act: Jay Clayton, SEC, H8931 [18NO]

Outsourcing Accountability Act: Shane Larson, Communications Workers of America (organization), H8236 [18OC]

SEC Disclosure Effectiveness Testing Act: Barbara Roper and Micah Hauptman, Consumer Federation of America, H8214 [17OC]

——— Bill Sweeney, AARP (organization), H8213 [17OC]

——— Ken Bentsen, Securities Industry and Financial Markets Association (SIFMA), H8212 [17OC]

——— Kevin R. Keller, Lauren Schadle, and Geoffrey Brown, Financial Planners Coalition, H8213 [17OC]

——— several financial organizations, H8212 [17OC]

Motions

Financial services and general Government: making appropriations (H.R. 264), H337 [9JA]

——— making appropriations (H.R. 3351), H5194 [26JN]

Notices

Estimated budget effects of H.R. 4344, Invester Protection and Capital Markets Fairness Act, H8956 [18NO]

Estimated budget effects of H.R. 4860, SEC jurisdiction over crowdfunding vehicles, H8537 [28OC]

Remarks in House

Business and industry: exempt companies from requirement to disclose total number of a company’s domestic and foreign employees if they are required to make chief executive officer pay ratio or conflict minerals disclosures, H8238, H8239 [18OC]

——— repeal rule making open market stock repurchases by public companies easier and require percentage of company boards to be picked by employees (H.R. 3355), E791 [19JN]

——— require disclosure of the total number of a company’s domestic and foreign employees (H.R. 3624), H8233–H8242 [18OC]

——— require disclosure of the total number of a company’s domestic and foreign employees (H.R. 3624), consideration (H. Res. 629), H8154–H8157 [16OC]

——— require disclosure of the total number of a company’s domestic and foreign employees if it is considered material information for investors, H8239, H8240 [18OC]

——— require public companies to disclose gender, race, ethnicity, and veteran status of their board directors, nominees, and senior executive officers (H.R. 5084), H8927–H8929 [18NO]

Corporations: allow use of funds to ensure that shareholders of corporations have knowledge of corporation political activity, H2533, H2534 [7MR]

Crime: clarify certain terms related to securities trading and provide for a explicit personal benefit test for trying insider trading cases, H9275, H9276 [5DE]

——— limit prosecutions of insider trading to people who use wrongful nonpublic information to profit, H9276, H9277 [5DE]

——— prohibit certain securities trading and related communications by those who possess material, nonpublic information to prevent insider trading (H.R. 2534), H9271–H9279 [5DE]

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, H4075 [22MY]

Financial services and general Government: across-the-board funding reduction, H5179 [26JN]

——— across-the-board funding reduction for non-defense activities, H5185, H5186 [26JN]

——— making appropriations, H186, H187 [3JA], H1155 [23JA], H10381 [17DE], E70 [22JA]

——— making appropriations (H.R. 264), H312–H338 [9JA]

——— making appropriations (H.R. 264), consideration (H. Res. 28), H302–H311 [9JA]

——— making appropriations (H.R. 264), motion to recommit, H337, H338 [9JA]

——— making appropriations (H.R. 3351), H5022 [21JN], H5104–H5138, H5159–H5161, H5164 [25JN], H5177–H5197 [26JN], E846 [26JN], E865 [28JN]

——— making appropriations (H.R. 3351), consideration (H. Res. 460), H5091–H5100 [25JN]

——— making appropriations (H.R. 3351), motion to recommit, H5194, H5195 [26JN]

Fundraising: provide jurisdiction over crowdfunding vehicles (H.R. 4860), H8493, H8494 [28OC]

Government regulations: adjust certain resubmission thresholds for shareholder proposals (H.R. 3088), H8073 [27SE]

——— apply investor testing requirements only to applicable disclosure documents developed after a certain date, H8218, H8219 [17OC]

——— clarify that the term ‘‘retail investor’’ does not mean an institutional investor, H8219, H8220 [17OC]

——— exempt Form CRS from investor testing requirements, H8216, H8217 [17OC]

——— issue rules requiring private funds to publicly disclose certain information (H.R. 3848), H9067 [20NO]

Investments: carry out a study to evaluate issues affecting provision of and reliance upon investment research into small issuers (H.R. 2919), H5282, H5283 [9JY]

Mining and mineral resources: repeal certain disclosure requirements relative to conflict minerals, H5133, H5134 [25JN]

SEC: require conduct of investor testing, including a survey and interviews of retail investors, when developing rules and regulations about disclosures to retail investors (H.R. 1815), consideration (H. Res. 629), H8154–H8157 [16OC]

——— require disclosure of the total number of a company’s domestic and foreign employees (H.R. 3624), consideration (H. Res. 629), H8154–H8157 [16OC]

Securities: clarify authority to seek disgorgement and restitution claims for defrauded investors (H.R. 4344), H8929–H8932 [18NO]

——— study rule 10b5-1 trading plans relative to the definition of insider trading (H.R. 624), H1221–H1223 [28JA]

Senior citizens: include specific consideration of unique challenges senior investors face as part of overall investor testing, H8217, H8218 [17OC]

Senior Investor Taskforce: establish (H.R. 1876), H3314–H3316 [30AP]

Small business: expand access to capital for rural small businesses (H.R. 2409), H5285–H5287 [9JY]

——— study the 10 per centum threshold limitation applicable to the definition of a diversified company (H.R. 3050), H5283–H5285 [9JY]

Whistleblowing: amend definition of whistleblower (H.R. 2515), H5276–H5278 [9JY]

Remarks in Senate

Business and industry: require all foreign and domestic companies registered with the SEC to report annually on amounts paid to each country for access to oil, gas, and minerals, S2632 [6MY]

——— require publicly traded companies to disclose policies on whether senior executives or shareholders bear the burden of paying company fines and penalties (S. 1885), S3658 [18JN]

CFTC and SEC: modify whistleblower incentives and protections (S. 2529), S5907 [21OC]

Climate: require issuers to disclose certain activities and risks relative to climate change (S. 2075), S4917 [17JY]

Corporations: prohibit large employers from buying back stock unless it meets certain condidtions relative to investing in their employees and communities, S1163 [11FE]

——— prohibit large employers from buying back stock unless it meets certain conditions relative to investing in their employees and communities, S819 [4FE], S1449 [26FE], S1771 [12MR], S2205 [2AP], S3354–S3356 [12JN]

Economy: effect of nominations on financial regulations, S3276 [10JN]

Financial services and general Government: making appropriations (H.R. 264), S106 [9JA], S111 [10JA]

Government regulations: enhance civil penalties under Federal securities laws (S. 1854), S3481 [13JN]

——— issuance of rules requiring more transparency and accountability for asset managers working with proxy advisory firms, S6454 [7NO]

Presidential appointments: nominations considered and confirmed en bloc, S4151 [20JN]

Public Company Accounting Oversight Board: promote transparency by making disciplinary proceedings open to the public (S. 1256), S2522 [30AP]

Reports filed

Consideration of H.R. 264, Financial Services and General Government Appropriations: Committee on Rules (House) (H. Res. 28) (H. Rept. 116–1), H280 [8JA]

Consideration of H.R. 1815, SEC Disclosure Effectiveness Testing Act and H.R. 3624, Outsourcing Accountability Act: Committee on Rules (House) (H. Res. 629) (H. Rept. 116–237), H8142 [15OC]

Consideration of H.R. 2534, Insider Trading Prohibition Act: Committee on Rules (House) (H. Res. 739) (H. Rept. 116–320), H9221 [3DE]

Consideration of H.R. 2722, Securing America’s Federal Elections (SAFE) Act and H.R. 3351, Financial Services and General Government Appropriations: Committee on Rules (House) (H. Res. 460) (H. Rept. 116–126), H5074 [24JN]

Corporate Management Accountability Act: Committee on Financial Services (House) (H.R. 4320) (H. Rept. 116–337), H10122 [11DE]

Financial Services and General Government Appropriations: Committee on Appropriations (House) (H.R. 3351) (H. Rept. 116–122), H4916 [19JN]

——— Committee on Appropriations (Senate) (S. 2524) (S. Rept. 116–111), S5602 [19SE]

Greater Accountability in Pay Act: Committee on Financial Services (House) (H.R. 4242) (H. Rept. 116–336), H10122 [11DE]

Insider Trading Prohibition Act: Committee on Financial Services (House) (H.R. 2534) (H. Rept. 116–219), H8079 [27SE]

Nomination of Allison Herren Lee to the SEC: Committee on Banking, Housing, and Urban Affairs (Senate), S3651 [18JN]

Outsourcing Accountability Act: Committee on Financial Services (House) (H.R. 3624) (H. Rept. 116–220), H8094 [4OC]

SEC Disclosure Effectiveness Testing Act: Committee on Financial Services (House) (H.R. 1815) (H. Rept. 116–123), H5005 [20JN]

Tables

Estimated pay-as-you-go effects of H.R. 4344, Invester Protection and Capital Markets Fairness Act, H8956 [18NO]

Texts of

H. Res. 28, consideration of H.R. 264, financial services and general Government appropriations, H302 [9JA]

H. Res. 456, commend role of State securities regulators and North American Securities Administrators Association in protecting and educating investors and promoting capital formation and urge continued collaboration with SEC, H5280 [9JY]

H. Res. 460, consideration of H.R. 2722, Securing America’s Federal Elections (SAFE) Act and H.R. 3351, financial services and general Government appropriations, H5091 [25JN]

H. Res. 629, consideration of H.R. 1815, SEC Disclosure Effectiveness Testing Act and H.R. 3624, Outsourcing Accountability Act, H8154 [16OC]

H. Res. 739, consideration of H.R. 2534, Insider Trading Prohibition Act, H9230 [4DE]

H.R. 264, financial services and general Government appropriations, H312–H331 [9JA]

H.R. 1815, SEC Disclosure Effectiveness Testing Act, H8215 [17OC]

H.R. 1876, National Senior Investor Initiative Act, H3314 [30AP]

H.R. 2409, Expanding Access to Capital for Rural Job Creators Act, H5285 [9JY]

H.R. 2515, Whistleblower Protection Reform Act, H5276 [9JY]

H.R. 2919, Improving Investment Research for Small and Emerging Issuers Act, H5282 [9JY]

H.R. 3050, Expanding Investment in Small Businesses Act, H5283 [9JY]

H.R. 3351, financial services and general Government appropriations, H5110–H5130 [25JN]

H.R. 3624, Outsourcing Accountability Act, H8237 [18OC]

H.R. 4344, Invester Protection and Capital Markets Fairness Act, H8929 [18NO]

H.R. 4860, SEC jurisdiction over crowdfunding vehicles, H8493 [28OC]

H.R. 5084, Improving Corporate Governance Through Diversity Act, H8927 [18NO]