SECURITIES AND EXCHANGE COMMISSION

Amendments

Securities: revise any rules necessary to enable issuers of index-linked annuities to register on form tailored specifically to registered index-linked annuities (S. 3198), S7002, S7004 [6DE]

Bills and resolutions

Agriculture: reduce certain farm input costs and reverse environmental regulatory barriers to domestic agricultural production (see H.R. 8069), H5609 [15JN]

Business and industry: amend Federal securities laws to specify periods for which financial statements are required to be provided by emerging growth company (see H.R. 9411), H8729 [2DE]

——— make price gouging unlawful, expand FTC ability to seek permanent injunctions and equitable relief, and require companies disclose costs and pricing strategies in SEC filings (see S. 4214), S2493 [12MY] (see H.R. 7736), H4919 [12MY]

——— permit issuers to submit draft registration statements for confidential review for both initial public offers and follow-on offers and set deadlines for when such statements shall be made public (see H.R. 9412), H8730 [2DE]

——— 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 auditor independence standards applicable to past audits of company occurring before it was public to treat auditor as independent if auditor meets established professional standards (see H.R. 9410), H8729 [2DE]

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

——— 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]

——— 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]

China: address issuance of securities by Chinese entities (see S. 3926), S1774 [24MR]

——— direct financial regulators to exclude representatives of China from certain banking organizations if President notifies Congress of any threats to economic system of Taiwan or U.S. (see H.R. 7411), H4395 [6AP]

——— require issuers filing annual reports to disclose any connections with Chinese Communist Party (see S. 3598), S575 [8FE] (see H.R. 6650), H1074 [8FE]

——— require reporting of sourcing and due diligence activities of companies involving supply chains of products imported into U.S. that are directly linked to forced labor in Xinjiang, China (see S. 4095), S2189 [27AP]

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

Courts: permit certain defendants to remove administrative proceedings to Federal court (see S. 3930), S1774 [24MR]

Crime: prohibit certain securities trading and related communications by those who possess material, nonpublic information to prevent insider trading (see S. 3990), S1936 [4AP]

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 S. 4295), S2664 [24MY]

——— provide for responsible financial innovation and bring digital assets within regulatory perimeter (see S. 4356), S2814 [7JN]

Financial services and general Government: making appropriations (see S. 4685), S3783 [28JY] (see H.R. 8254), H5923 [28JN]

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

——— 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]

——— disapprove rule submitted entitled ‘‘The Enhancement and Standardization of Climate-Related Disclosures for Investors’’ (see H.J. Res. 88), H5610 [15JN]

——— except quotations of fixed-income securities from certain regulatory requirements (see H.R. 6632), H1012 [7FE]

——— 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]

——— extend maximum period company can be emerging growth company from five years to ten years (see S. 4992), S5225 [28SE]

——— improve consideration of costs and benefits of regulations and orders (see H.R. 9603), H9902 [15DE]

——— permit increase of regulatory exemption thresholds (see S. 3916), S1774 [24MR]

——— permit registered investment companies to omit certain fees from calculation of acquired fund fees and expenses reporting (see S. 3961), S1867 [30MR]

——— prohibit from finalizing proposed rule titled ‘‘The Enhancement and Standardization of Climate-Related Disclosures for Investors’’ (see H.R. 8589), H7537 [29JY]

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

——— promulgate regulations on disclosure of certain commercial data (see H.R. 7120), H3826 [17MR]

——— provide digital asset intermediaries with safe harbor from certain enforcement actions and clarify classifications of digital assets and applicable liabilities under existing securities regulations (see S. 5030), S5541 [29SE]

——— provide small issuers with micro-offering exemption free of mandated disclosures or offering filings, but subject to antifraud provisions of Federal securities laws (see S. 3939), S1803 [28MR]

——— provide that certain disclosures relative to scope 3 greenhouse-gas emissions may not be required under securities laws (see H.R. 8507), H7169 [26JY]

——— provide that issuer required to file certain quarterly reports may elect to file those reports semiannually (see S. 3919), S1774 [24MR]

——— require conduct of investor testing, including survey and interviews of retail investors, when developing rules and regulations about disclosures to retail investors (see H.R. 8462), H7065 [21JY]

——— require that information required to be disclosed by issuers be material to investors of those issuers (see H.R. 9408), H8729 [2DE]

——— 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]

——— support current definition of materiality in securities laws and oppose new disclosure requirements outside core mission (see S. 5005), S5540 [29SE] (see H. Res. 1028), H4191 [5AP]

——— update guidance on economic analysis in rulemaking (see H.R. 7408), H4191 [5AP]

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

Income: extend exemptions for securities offered as part of employee pay to other individuals providing goods, labor, or services for remuneration (see S. 3931), S1774 [24MR]

Information technology: promulgate rules relative to electronic delivery of certain required disclosures (see H.R. 9570), H9901 [15DE]

Investments: add additional investment thresholds for individual to qualify as accredited investor (see H.R. 9405), H8729 [2DE]

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

——— expand definition of qualifying accredited investor (see S. 3921), S1774 [24MR]

——— prohibit limitations on closed-end companies investing in private funds (see S. 3948), S1832 [29MR]

——— 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 H.R. 9089), H8370 [30SE]

——— provide that broker-dealers who provide research services to investment managers and receive payments from certain accounts are not investment advisers (see S. 3965), S1867 [30MR]

——— require certain cryptocurrency exchanges to make disclosures relating to proof of reserves (see H.R. 9421), H8730 [2DE]

——— require national securities exchanges to identify issuers that are consolidated variable interest entities (see S. 4757), S3919 [3AU]

——— revise definition of qualifying investment to include equity security issued by qualifying portfolio company for purposes of exemption from registration for venture capital fund advisers (see S. 3914), S1774 [24MR]

——— revise rules on general solicitation or general advertising to allow for presentations or other communication made by or on behalf of issuer at certain events (see H.R. 9451), H8823 [7DE]

——— study need to revise current tick size regime used for purpose of quoting or trading securities (see H.R. 8436), H6921 [20JY]

Law enforcement: require Federal financial regulators to create public database of people who have committed financial crimes or have civil liability for financial misdeeds (see S. 3716), S875 [1MR]

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

Proprietary Education Interagency Oversight Coordination Committee: establish (see S. 5155), S6905 [30NO]

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

Public Company Accounting Oversight Board: exclude audits of privately held, non-custody brokers and dealers that are in good standing from certain requirements (see S. 4292), S2664 [24MY]

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

Research: expand research report exception to include reports about any issuer that undertakes proposed offering of public securities (see H.R. 9605), H9902 [15DE]

SBA: develop and disseminate educational materials on certain opportunities for small businesses to raise capital from investors (see H.R. 9450), H8823 [7DE]

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

——— define secondary offerings of Regulation A tier 2 securities as covered securities for purposes of exemption from State regulation (see S. 3966), S1867 [30MR]

——— lower aggregate market value of voting and non-voting common equity necessary for issuer to qualify as well-known seasoned issuer (see H.R. 9562), H9853 [14DE]

——— permit issuer, when determining market capitalization of issuer for purposes of testing significance of acquisition or disposition, to include value of all shares of issuer (see H.R. 9551), H9852 [14DE]

——— preempt State securities law requiring registration for secondary transactions (see S. 3967), S1867 [30MR] (see H.R. 9478), H8873 [8DE]

Senior citizens: provide grants to States for enhanced protection of senior citizen investors and policyholders (see S. 3529), S382 [20JA]

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

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

——— study costs associated with small- and medium-sized companies to undertake initial public offerings (see S. 3980), S1910 [31MR]

Small businesses: require Advocate for Small Business Capital Formation to provide educational resources and host events to promote capital raising options for traditionally underrepresented small businesses (see H.R. 7977), H5408 [8JN]

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

Letters

Impact of SEC rule entitled ‘‘The Enhancement and Standardization of Climate-Related Disclosures for Investors’’ on agricultural community: several Representatives, H6850 [19JY]

SEC staff guidance relative to certain entities’ custodial obligations regarding digital assets: several Representatives, H9897 [15DE]

Lists

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

Votes recorded by proxy on H.R. 5914, Empowering States To Protect Seniors From Bad Actors Act, H4837 [11MY]

Remarks in House

Agriculture: reduce certain farm input costs and reverse environmental regulatory barriers to domestic agricultural production (H.R. 8069), H5619, H5624 [16JN], H5720 [21JN], E637 [16JN]

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

Ecology and environment: disapprove proposed rule requiring retirement plan managers to consider environmental, social, and governance factors when making investment decisions, H5980 [13JY]

Financial services and general Government: making appropriations, H6733, H6734, H6737, H6740, H6850, H6851, H6853, H6854 [19JY], H6892–H6895, H6902 [20JY], E760 [20JY]

Government regulations: disapprove rule submitted entitled ‘‘The Enhancement and Standardization of Climate-Related Disclosures for Investors’’, H6890 [20JY]

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

——— prohibit from finalizing proposed rule titled ‘‘The Enhancement and Standardization of Climate-Related Disclosures for Investors’’ (H.R. 8589), H7412–H7416 [29JY], H7807, H7810 [14SE]

——— prohibit funding to finalize, implement, or enforce rule entitled ‘‘The Enhancement and Standardization of Climate-Related Disclosures for Investors’’, H6710, H6737, H6850, H6851 [19JY]

Health: transfer pharmaceutical civil penalties to NIH Gabriella Miller Kids First Pediatric Research Program Fund (H.R. 623), H7124–H7126 [26JY], H7197, H7223 [27JY]

Investments: revise definition of qualifying investment to include equity security issued by qualifying portfolio company for purposes of exemption from registration for venture capital fund advisers (H.R. 4227), H7152, H7153 [26JY]

Nationally recognized statistical rating organizations: amend laws (H.R. 4586), H7128, H7129 [26JY]

Public buildings: eliminate independent leasing authority (H.R. 1468), H7755, H7756 [13SE], H7814 [14SE]

Senior citizens: provide grants to States for enhanced protection of senior citizen investors and policyholders (H.R. 5914), H4744–H4746 [10MY], H4809 [11MY]

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

Remarks in Senate

Biden, President: use of financial and securities regulators to advance environmental, social, and governance (ESG) regulations, S7014 [7DE]

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

Crime: prohibit certain securities trading and related communications by those who possess material, nonpublic information to prevent insider trading (S. 3990), S1937 [4AP]

Presidential appointments: nominations considered and confirmed en bloc, S3001 [16JN]

Proprietary Education Interagency Oversight Coordination Committee: establish (S. 5155), S7273 [19DE]

Securities: revise any rules necessary to enable issuers of index-linked annuities to register on form tailored specifically to registered index-linked annuities (S. 3198), S7003, S7004 [6DE]

Reports filed

Empowering States To Protect Seniors From Bad Actors Act: Committee on Financial Services (House) (H.R. 5914) (H. Rept. 117–315), H4795 [10MY]

Financial Services and General Government Appropriations: Committee on Appropriations (House) (H.R. 8254) (H. Rept. 117–393), H5923 [28JN]

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

Kids First Research Act 2.0: Committee on Energy and Commerce (House) (H.R. 623) (H. Rept. 117–431), H7072 [22JY]

Nomination of Jaime E. Lizarraga to SEC: Committee on Banking, Housing, and Urban Affairs (Senate), S2865 [8JN]

Nomination of Mark T. Uyeda to SEC: Committee on Banking, Housing, and Urban Affairs (Senate), S2865 [8JN]

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

SEC Real Estate Leasing Authority Revocation Act: Committee on Transportation and Infrastructure (House) (H.R. 1468) (H. Rept. 117–462), H7782 [13SE]

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. 623, Kids First Research Act 2.0, H7124 [26JY], H7198, H7223 [27JY]

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

H.R. 1468, Securities and Exchange Commission Real Estate Leasing Authority Revocation Act, H7755 [13SE], H7814 [14SE]

H.R. 4227, Developing and Empowering our Aspiring Leaders Act, H7152 [26JY]

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

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

H.R. 5914, Empowering States To Protect Seniors From Bad Actors Act, H4744 [10MY]

S. 5155, Proprietary Education Interagency Oversight Coordination Improvement Act, S6907–S6909 [30NO]