SECURITIES EXCHANGE ACT

Bills and resolutions

China: address corrupt business practices that excuse genocide, advance Chinese Communist Party propaganda, advocate on behalf of Chinese Communist Party officials, or invest in certain Chinese industries (see S. 3584), S523 [3FE]

SEC: address disclosures by directors, officers, and principal stockholders of foreign private issuers (see S. 4127), S2275 [3MY]

——— address solicitation of proxy relative to securities (see S. 3945), S1832 [29MR]

——— amend certain security registration thresholds under Securities Exchange Act (see H.R. 6750), H1123 [15FE]

——— create safe harbor for finders and private placement brokers (see S. 3922), S1774 [24MR] (see H.R. 8998), H8220 [28SE]

——— establish grant program to fund qualified investor advocacy clinics (see S. 4657), S3782 [28JY] (see H.R. 7923), H5227 [31MY]

——— exclude qualified institutional buyers and institutional credited investors when calculating holders of security for purposes of mandatory registration threshold (see H.R. 9459), H8823 [7DE]

——— expand access to capital for rural small businesses (see S. 3503), S220 [13JA]

——— further enhance anti-retaliation protections for whistleblowers (see S. 3977), S1910 [31MR]

——— improve quality of proxy advisory firms to protect investors and economy and to foster accountability, transparency, responsiveness, and competition in the industry (see H.R. 9527), H9851 [14DE]

——— permit different trading increment (tick) sizes for emerging growth companies (see S. 3947), S1832 [29MR]

——— prohibit from requiring issuers to disclose information relative to greenhouse gas emissions (see S. 5135), S6823 [28NO] (see H.R. 9063), H8315 [29SE]

——— prohibit requirements for issuers to make certain disclosures relative to greenhouse gas emissions or consumption (see H.R. 7355), H4126 [1AP]

——— repeal rule making open market stock repurchases by public companies easier and require percentage of company boards to be picked by employees (see H.R. 9149), H8385 [7OC]

——— require companies to file public reports after meeting certain quantitative thresholds (see S. 4857), S4638 [15SE]

——— require covered issuers to carry out racial equity audit every 2 years (see H.R. 9437), H8800 [6DE]

——— require issuers to disclose whether they do business in, or with Russia or other aggressor nations (see H.R. 7228), H3863 [24MR]

——— require proxy voting advice businesses to disclose certain information (see H.R. 9488), H9688 [12DE]

——— require to periodically review final rules issued by Commission (see H.R. 9526), H9851 [14DE]

——— revise definition of facility (see H.R. 8617), H7538 [29JY]

——— revise shareholder threshold for registration under Securities Exchange Act for issuers that receive support through certain Federal universal service support mechanisms (see S. 4689), S3804 [1AU] (see H.R. 9445), H8800 [6DE]

——— specify certain registration statement contents for emerging growth companies and permit issuers to file draft registration statements for confidential review (see H.R. 9413), H8730 [2DE]

——— strengthen Office of the Investor Advocate (see H.R. 7732), H4919 [12MY]

Small business: permit access to financial capital sources for investment in and financing of cannabis-related businesses and create safe harbor for securities exchanges to list securities of cannabis-related businesses (see H.R. 8200), H5877 [23JN]

Lists

Votes recorded by proxy on H.R. 935, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act, H4838 [11MY]

Remarks in House

SEC: amend laws relative to risk-based examinations of nationally recognized statistical rating organizations (H.R. 4586), H7128, H7129 [26JY]

——— exempt from registration brokers participating in transfer of ownership of smaller privately-held companies (H.R. 935), H4746–H4748 [10MY]

——— expand access to capital for rural small businesses (H.R. 5128), H7131 [26JY]

——— require public companies to disclose gender, race, ethnicity, and veteran status of their board directors, nominees, and senior executive officers, H5569 [15JN]

Remarks in Senate

SEC: require companies to file public reports after meeting certain quantitative thresholds (S. 4857), S4640 [15SE]

Reports filed

Improving Corporate Governance Through Diversity Act: Committee on Financial Services (House) (H.R. 1277) (H. Rept. 117–230), H287 [20JA]

Risk-Based Credit Examination Act: Committee on Financial Services (House) (H.R. 4586) (H. Rept. 117–421), H6921 [20JY]

Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act: Committee on Financial Services (House) (H.R. 935) (H. Rept. 117–313), H4795 [10MY]

Texts of

H.R. 935, Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act, H4746 [10MY]

H.R. 4586, Risk-Based Credit Examination Act, H7128 [26JY]

H.R. 5128, Expanding Access to Capital for Rural Job Creators Act, H7131 [26JY]