SECURITIES related term(s) Investments

Amendments

Dept. of Labor: disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’ (H.J. Res. 30), consideration (H. Res. 166), H930 [28FE]

——— disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’ (H.J. Res. 30), postpone consideration of veto message (H. Res. 199), H1162, H1171 [8MR]

Articles and editorials

Republicans Ought To Be All for ESG, S541 [1MR]

Bills and resolutions

CFTC: adjust period during which amounts transferred to account for customer education initiatives and non-awards expenses shall remain available (see H.R. 4935), H4029 [26JY]

——— include oversight of markets which set reference prices for aluminum premiums (see S. 1850), S2005 [7JN]

——— modify Whistleblower Program and Customer Protection Fund (see S. 2500), S3619 [26JY]

Climate: authorize Dept. of the Treasury to issue climate change bonds, deposit funds in Dept. of Commerce Climate Change Resiliency Fund, and establish Climate Change Advisory Commission to award such funds to projects (see S. 3416), S5807 [6DE]

Courts: require Justices, judges, magistrate judges, or bankruptcy judges and their spouses and dependent children to place certain assets into qualified blind trusts (see H.R. 3534), H2455 [18MY]

Cryptocurrency: provide for regulation of payment stablecoins (see H.R. 4766), H3886 [20JY]

——— require interagency study on environmental and energy impacts of crypto-asset mining and assess crypto-asset mining compliance with Clean Air Act (see S. 661), S654 [6MR] (see H.R. 1460), H1205 [8MR]

Dept. of Defense: promote ethics and prevent corruption in contracting and other activities by limiting influence of contractors and foreign entities and ensuring transparency (see S. 2050), S2145 [20JN] (see H.R. 5306), H4210 [29AU]

——— strengthen prohibition on ownership or trading of stocks in certain companies by certain officials (see H.R. 5120), H4157 [1AU]

Dept. of Labor: disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’ (see S.J. Res. 8), S265 [7FE] (see H.J. Res. 30), H737 [7FE]

——— disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’ (H.J. Res. 30), consideration (see H. Res. 166), H967 [28FE]

——— disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’ (H.J. Res. 30), postpone consideration of veto message (see H. Res. 199), H1147 [7MR]

——— permit retirement plans to consider certain environmental, social, and governance factors in investment decisions (see S. 523), S457 [16FE] (see H.R. 1119), H864 [21FE]

——— prohibit retirement plan investments in foreign adversary and sanctioned entities and require disclosure of existing investments in such entities (see H.R. 4008), H2807 [12JN]

Dept. of the Treasury: conduct study and submit report on certain risks to U.S. investors due to hostilities in Taiwan or Taiwan Strait (see H.R. 4450), H3159 [30JN]

——— establish Civil Liberties Protection Officer for Financial Crimes Enforcement Network (see H.R. 4107), H2930 [14JN]

——— issue Clean Energy Victory Bonds to increase investment in domestic development and deployment of clean energy technologies (see S. 2893), S4654 [21SE] (see H.R. 5618), H4454 [21SE]

Economy: make reforms to U.S. capital markets (see H.R. 2799), H1914 [24AP]

ERISA: clarify fiduciary duty of plan administrators to select and maintain investments based solely on pecuniary factors (see S. 1563), S1623 [11MY]

——— permit default investment arrangements in annuities (see H.R. 3942), H2785 [9JN]

Federal agencies and departments: prohibit certain executive branch officials from holding individual stocks (see S. 693), S669 [7MR]

——— prohibit certain Federal agencies from requiring certain institutions to include custodial assets as liability (see H.R. 5741), H4712 [27SE]

——— require executive branch agencies to prohibit conflicting financial interests through prohibited holdings regulations (see H.R. 4222), H2990 [20JN]

Federal employees: address responsibilities of fiduciaries relative to Thrift Savings Plan (see S. 149), S147 [30JA]

——— prohibit Federal officers and employees from engaging in any financial trading activity while on Federal Government property (see H.R. 2383), H1640 [29MR]

——— prohibit investments under Thrift Savings Plan in certain mutual funds that make investment decisions based primarily on environmental, social, or governance criteria (see S. 2147), S2223 [22JN] (see H.R. 3612), H2545 [23MY]

——— prohibit qualified professional asset managers from exercising voting rights associated with ownership of securities by Thrift Savings Plan (see S. 1891), S2028 [8JN] (see H.R. 3406), H2423 [17MY]

——— prohibit sums in Thrift Savings Plan from being invested in securities listed on certain foreign exchanges (see S. 1650), S1704 [17MY] (see H.R. 3455), H2426 [17MY]

——— prohibit transactions involving certain financial instruments by senior Federal employees, their spouses, or dependent children (see H.R. 310), H232 [12JA]

——— provide for corporate responsibility investment option under Thrift Savings Plan (see H.R. 1261), H970 [28FE]

——— restrict trading and ownership of certain investments (see H.R. 389), H243 [17JA]

Financial Accounting Standards Board: comply with Administrative Procedure Act and Government in the Sunshine Act, conduct cost-benefit analysis on accounting standards, and require head to testify before Congress (see H.R. 6726), H6859 [12DE]

Financial institutions: impose higher tax rate on bonuses and profits from sales of stock by executives employed by failing banks that were closed and for which FDIC has been appointed as conservator or receiver (see S. 800), S772 [14MR] (see H.R. 1654), H1293 [17MR]

——— prohibit stock sales by senior bank executives in certain circumstances (see H.R. 4209), H2989 [20JN]

——— provide for responsible financial innovation and bring digital assets within regulatory perimeter (see S. 2281), S2360 [12JY]

——— provide greater transparency relative to financial regulatory agencies (see S. 1160), S1091 [30MR]

——— restore certain provisions of law to separate investment banking from commercial banking (see H.R. 2714), H1885 [19AP]

FRS: permit certain non-designated clearinghouses access to deposit account at Federal reserve bank and apply certain risk management standards to such clearinghouses receiving certain Federal reserve bank services (see H.R. 5234), H4191 [18AU]

——— require financial firms to establish plans to reduce investing in financed greenhouse gas emissions to protect financial stability (see S. 1138), S1090 [30MR] (see H.R. 2443), H1692 [30MR]

Government: express support for comprehensive political reform plan (see H. Res. 938), H6985 [14DE]

——— prohibit Members of Congress, congressional staff, President, Vice President, and senior officials from owning investments while in office and prohibit Members from serving on corporate boards while in office (see H.R. 1463), H1205 [8MR]

——— require Members of Congress, congressional staff, President, Vice President, and senior officials to report Government payments in financial disclosures and ban stock trading for senior officials (see S. 2463), S3521 [25JY] (see S. 3555), S6022 [18DE] (see H.R. 6842), H6992 [15DE]

House Rules: prohibit Members of Congress from owning individual stocks (see H. Res. 156), H875 [24FE]

Insurance: ensure plan fiduciaries may access de-identified information relating to health claims (see H.R. 4527), H3204 [11JY]

International Development Association: accord securities same exemption from securities laws that applies to securities of other multilateral development banks in which U.S. is member (see H.R. 1161), H873 [24FE]

Investments: address entities that are not considered to be investment companies for purposes of Investment Company Act (see S. 3319), S5540 [15NO]

——— authorize exclusion of shareholder proposals from proxy or consent solicitation material if subject matter of shareholder proposal is environmental, social, or political (see H.R. 4640), H3611 [14JY]

——— exclude investment contract assets from definition of security relative to digital assets (see H.R. 3572), H2499 [22MY]

——— permit individuals to invest in private issuers upon acknowledging investment risks (see H.R. 1574), H1284 [14MR]

——— postpone date of payment or satisfaction upon redemption of certain securities in cases of financial exploitation of specified adults (see S. 1481), S1566 [9MY]

——— postpone date of payment or satisfaction upon redemption of certain securities in the case of financial exploitation of specified adults (see H.R. 500), H322 [25JA]

——— prohibit interference in U.S. digital commodity markets by entities organized or established in foreign adversary (see S. 1870), S2006 [7JN]

——— prohibit securities investments that finance certain Chinese companies and expand Non-Specially Designated Nationals Chinese Military-Industrial Complex Companies List (see S. 852), S825 [16MR] (see H.R. 4658), H3612 [14JY]

——— 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. 6783), H6983 [14DE]

——— require investment advisers for passively-managed funds to arrange for pass-through voting of proxies for certain securities (see S. 2700), S3757 [27JY] (see H.R. 4645), H3611 [14JY]

Members of Congress: ban lobbying after leaving office, prohibit individual stock ownership, restrict travel benefits and certain perks for former Members, and reduce pay if Speaker is not elected on first day of Congress (see H.R. 507), H323 [25JA]

——— prohibit sale or purchase of covered financial instruments by Members and their spouses (see H.R. 6141), H5227 [1NO]

——— prohibit stock trading and ownership by Members, their spouses, or their dependent children (see S. 1171), S1134 [17AP] (see H.R. 2678), H1845 [18AP]

——— prohibit stock trading and ownership by Members and their spouses (see H.R. 1679), H1300 [21MR]

——— prohibit transactions involving certain financial instruments by Members and their spouses (see S. 58), S75 [24JA] (see S. 439), S425 [15FE] (see H.R. 1138), H865 [21FE]

——— require Members, spouses, and dependent children to place certain assets into blind trusts (see S. 2773), S4389 [12SE] (see H.R. 345), H233 [12JA]

——— restrict trading and ownership of certain financial instruments by Members, their spouses, and dependents (see H.R. 3003), H2117 [28AP]

National Infrastructure Bank: establish (see H.R. 4052), H2883 [13JN]

Power resources: update Federal purchase requirement to ensure transition away from fossil fuel sources of energy to 100 percent clean and renewable energy by 2050 (see H.R. 2703), H1885 [19AP]

Public Company Accounting Oversight Board: promote transparency by making disciplinary proceedings open to public (see S. 865), S826 [16MR]

Puerto Rico: recognize need for sustainable, economically viable, and fair debt restructuring plan for Puerto Rico Electric Power Authority (see S. Con. Res. 12), S2360 [12JY] (see H. Con. Res. 55), H3159 [30JN]

SBA: establish employee equity investment facility (see S. 1618), S1678 [16MY] (see H.R. 3383), H2376 [16MY]

——— increase guarantee amount under Surety Bond Program (see S. 2206), S2225 [22JN]

SEC: add additional investment thresholds for individual to qualify as accredited investor (see H.R. 2652), H1759 [17AP]

——— address advertising by digital asset intermediaries (see S. 1357), S1418 [27AP]

——— address disclosures by directors, officers, and principal stockholders of foreign private issuers (see S. 1169), S1134 [17AP]

——— allow for registration of venture exchanges (see S. 2068), S2185 [21JN] (see H.R. 6623), H6207 [6DE]

——— amend definition of accredited investor (see H.R. 1579), H1285 [14MR]

——— amend definition of accredited investor to include individuals receiving advice from certain professionals (see H.R. 2773), H1908 [20AP]

——— amend Federal securities laws to enhance 403(b) plans (see H.R. 3063), H2125 [2MY]

——— amend Federal securities laws to specify periods for which financial statements are required to be provided by emerging growth company (see H.R. 2608), H1725 [13AP]

——— amend Federal securities laws with respect to materiality of disclosure requirements (see H.R. 4790), H3887 [20JY]

——— amend rule relating to shareholder proposals (see S. 3179), S5315 [1NO]

——— authorize exclusion of shareholder proposals from proxy or consent solicitation material if proposals substantially implement, duplicate, or are substantially similar to previously included proposals (see H.R. 4644), H3611 [14JY]

——— authorize exclusion of shareholder proposals from proxy or consent solicitation material if such proposals are substantially similar to previously included proposals (see H.R. 4641), H3611 [14JY]

——— carry out study and rulemaking on definition of term ‘‘small entity’’ for purposes of securities laws (see H.R. 2792), H1909 [20AP]

——— clarify definition of qualifying venture capital funds (see H.R. 2790), H1909 [20AP]

——— clarify that issuer may exclude shareholder proposal from its proxy statement without regard to whether such proposal relates to significant social policy issue (see H.R. 4657), H3612 [14JY]

——— codify certain no-action letters that exclude brokers and dealers compensated for certain research services from definition of investment adviser (see H.R. 2622), H1725 [13AP]

——— codify certain qualifications of individuals as accredited investors for purposes of securities laws (see H.R. 835), H708 [6FE]

——— conduct study of certain issues relative to shareholder proposals, proxy advisory firms, and proxy process (see H.R. 4662), H3612 [14JY]

——— create safe harbor for finders and private placement brokers (see H.R. 2590), H1724 [13AP]

——— disapprove rule entitled ‘‘Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure’’ (see S.J. Res. 50), S5459 [9NO] (see H.J. Res. 100), H5669 [9NO]

——— disclose and report on non-material disclosure mandates (see H.R. 4628), H3574 [13JY]

——— enable shareholders of large public companies to hold corporate management accountable for certain ‘‘woke’’ corporate actions that breach certain fiduciary duties (see S. 189), S172 [31JA]

——— enhance civil penalties under Federal securities laws (see S. 837), S825 [16MR]

——— establish disclosure requirements for securities from certain Chinese companies (see S. 854), S825 [16MR]

——— establish Public Company Advisory Committee (see H.R. 4652), H3612 [14JY]

——— establish Senior Investor Taskforce (see S. 955), S933 [23MR] (see H.R. 2593), H1724 [13AP]

——— exclude qualified institutional buyers and institutional credited investors when calculating holders of security for purposes of mandatory registration threshold (see H.R. 2605), H1725 [13AP]

——— exempt off-exchange secondary trading from State regulation where such trading is with respect to securities of issuer that makes publicly available certain current information (see H.R. 2506), H1708 [6AP]

——— expand ability to use testing the waters and confidential draft registration submissions to encourage initial public offerings (see S. 3030), S4948 [4OC] (see H.R. 2793), H1909 [20AP]

——— expand research report exception to include reports about any issuer that undertakes proposed offering of public securities (see H.R. 2576), H1724 [13AP]

——— extend exemptions for securities offered as part of employee pay to other individuals providing goods, labor, or services for remuneration and preempt certain State laws relative to wage rates and benefits (see H.R. 2612), H1725 [13AP]

——— extend no-action determination relative to provision of research services by broker-dealers (see S. 2141), S2223 [22JN]

——— further enhance anti-retaliation protections for whistleblowers (see S. 811), S798 [15MR]

——— impose certain requirements relative to use of market indexes (see S. 3203), S5338 [2NO]

——— improve quality of proxy advisory firms to protect investors and economy and to foster accountability, transparency, responsiveness, and competition in industry (see S. 1799), S1899 [1JN] (see H.R. 448), H275 [24JA] (see H.R. 4589), H3477 [12JY]

——— increase exemption from registration threshold for certain investment advisers of private funds to reflect change in inflation (see H.R. 2578), H1724 [13AP]

——— institute holding periods for stock buybacks and stock-based compensation (see S. 790), S772 [14MR]

——— issue rules requiring enhanced disclosures for special purpose acquisition (blank check) companies during initial public offering and pre-merger stages (see S. 1901), S2029 [8JN]

——— lower aggregate market value of voting and non-voting common equity necessary for issuer to qualify as well-known seasoned issuer (see H.R. 2625), H1725 [13AP]

——— make revisions to Federal securities laws relative to shareholder proposals, proxy voting, and registration of proxy advisory firms (see H.R. 4767), H3886 [20JY]

——— 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. 2497), H1707 [6AP]

——— permit private persons to seek sanctions by filing civil actions (see H.R. 6695), H6814 [11DE]

——— permit registered investment companies to omit certain fees from calculation of acquired fund fees and expenses reporting (see H.R. 1379), H1147 [7MR] (see H.R. 5273), H4204 [25AU]

——— preempt State securities law requiring registration for secondary transactions (see H.R. 2607), H1725 [13AP]

——— prohibit from compelling inclusion or discussion of shareholder proposals or proxy or consent solicitation materials (see H.R. 4655), H3612 [14JY]

——— prohibit from issuing conflicting proposed or final rules and to consider industry-specific costs (see H.R. 4112), H2931 [14JN]

——— prohibit from requiring issuer to make climate-related disclosures that are not material to investors (see H.R. 317), H232 [12JA]

——— prohibit from requiring issuers to disclose information relative to greenhouse gas emissions (see S. 391), S351 [13FE] (see H.R. 1018), H838 [14FE]

——— prohibit from requiring that personally identifiable information be collected under consolidated audit trail reporting requirements (see S. 2230), S2310 [11JY] (see H.R. 4551), H3205 [11JY]

——— prohibit robovoting relative to votes related to proxy or consent solicitation materials (see H.R. 4656), H3612 [14JY]

——— prohibit trading of certain Communist Chinese military companies securities on national securities exchange (see S. 152), S147 [30JA]

——— promulgate rules relative to electronic delivery of certain required disclosures (see H.R. 1807), H1464 [27MR]

——— provide for disclosure of additional material information about public companies and establish Sustainable Finance Advisory Committee (see H.R. 4759), H3857 [19JY]

——— provide for duties of certain investment advisors, asset managers, and pension funds relative to voting on shareholder proposals (see H.R. 4648), H3612 [14JY]

——— provide liability for certain failures to disclose material information in connection with proxy voting advice (see H.R. 4590), H3477 [12JY]

——— provide small issuers with micro-offering exemption free of mandated disclosures or offering filings, but subject to antifraud provisions of Federal securities laws (see H.R. 2609), H1725 [13AP]

——— provide that certain disclosures relative to scope 3 greenhouse gas emissions may not be required under securities laws (see H.R. 3057), H2125 [2MY]

——— raise offering amount threshold for when issuers using crowdfunding exemption are required to file financial statements reviewed by public accountant who is independent of issuer (see H.R. 6825), H6985 [14DE]

——— 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. 3694), H2636 [25MY]

——— require certain foreign companies to use approved independent auditors (see S. 3494), S5961 [13DE] (see H.R. 6769), H6941 [13DE]

——— require certification examinations for accredited investors (see H.R. 2797), H1914 [24AP]

——— require disclosure of payments for settlements of disputes regarding sexual abuse and certain types of harassment and discrimination (see S. 1393), S1440 [1MY] (see H.R. 3078), H2126 [2MY]

——— require disclosures by advisors of private funds invested in countries of concern (see S. 3286), S5459 [9NO]

——— require issuers filing annual reports to disclose any connections with Chinese Communist Party (see S. 144), S147 [30JA] (see H.R. 747), H675 [2FE]

——— require issuers to disclose information about workforce management policies, practices, and performance in annual reports (see S. 2751), S4355 [11SE] (see H.R. 4578), H3476 [12JY]

——— require issuers to disclose information on pay raises made to executives and non-executive employees (see H.R. 5519), H4346 [14SE]

——— require issuers to disclose whether their supply chain uses forced labor Uyghurs (see H.R. 4452), H3159 [30JN]

——— require issuers to disclose whether they do business in, or with China or other aggressor nations (see H.R. 4451), H3159 [30JN]

——— require issuers to make certain disclosures relative to use of forced labor in Xinjiang Uyghur Autonomous Region in China (see H.R. 4840), H3895 [24JY]

——— require issuers with multi-class stock structure to make certain disclosures in any proxy or consent solicitation material (see H.R. 2795), H1914 [24AP]

——— require national securities exchanges to identify issuers that are consolidated variable interest entities (see S. 855), S825 [16MR]

——— require publicly traded companies to disclose if company has diversity, equity, and inclusion program to combat antisemitism (see H.R. 6776), H6941 [13DE]

——— require reporting of certain expenditures for political activities (see H.R. 4863), H3949 [25JY]

——— require that information required to be disclosed by issuers be material to investors of those issuers (see S. 2005), S2122 [15JN] (see H.R. 4168), H2957 [15JN]

——— revise certain thresholds related to smaller reporting companies, accelerated filers, and large accelerated filers (see H.R. 2603), H1724 [13AP]

——— revise definition of facility (see H.R. 6027), H5042 [24OC]

——— 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 H.R. 2579), H1724 [13AP]

——— 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 S. 3298), S5507 [14NO] (see H.R. 1553), H1278 [10MR]

——— revise shareholder threshold for registration under Securities Exchange Act for issuers that receive support through certain Federal universal service support mechanisms (see S. 3242), S5402 [7NO] (see H.R. 4360), H3142 [23JN]

——— specify that trading prohibition for certain Chinese issuers that retain public accounting firms that have not been subject to inspection by Public Company Accounting Oversight Board shall apply after 1 year (see H.R. 4879), H3949 [25JY]

——— support current definition of materiality in securities laws and oppose new disclosure requirements outside core mission (see H. Res. 32), H234 [12JA]

——— update definition of emerging growth company (see H.R. 2624), H1725 [13AP]

Social Security: establish Social Security Surplus Protection Account in Federal Old-Age and Survivors Insurance Trust Fund and suspend investment of such funds until certain legislation is enacted (see H.R. 853), H709 [6FE]

Taxation: ensure that bonds used to finance professional sports stadiums are not treated as tax-exempt bonds (see S. 392), S351 [13FE] (see H.R. 993), H837 [14FE]

——— exclude debt held by certain insurance companies from capital assets (see H.R. 5707), H4497 [26SE]

——— expand availability of employee stock ownership plans in S corporations (see S. 2515), S3619 [26JY] (see H.R. 4896), H4028 [26JY] (see H.R. 5011), H4139 [27JY]

——— extend publicly traded partnership ownership structure to energy power generation projects and transportation fuels (see S. 2641), S3755 [27JY] (see H.R. 3690), H2636 [25MY]

——— impose financial transaction tax on trading of stocks, bonds and derivatives and invest such funds in domestic priorities (see S. 1990), S2097 [14JN] (see H.R. 4119), H2931 [14JN]

——— impose minimum tax on certain wealthy tax payers that takes into account unrealized gains (see H.R. 6498), H5982 [29NO]

——— impose tax on certain volatile, high-volume stock, bond, and derivative transactions (see S. 2491), S3522 [25JY] (see H.R. 4870), H3949 [25JY]

——— increase rate of excise tax on repurchase of corporate stock (see S. 413), S397 [14FE]

——— index certain assets for purposes of determining gain or loss (see S. 1225), S1293 [20AP]

——— modify certain rules applicable to qualified small issue manufacturing bonds and expand certain exceptions to private activity bond rules for first-time farmers (see S. 2653), S3755 [27JY] (see S. 2723), S3894 [5SE] (see H.R. 3787), H2712 [1JN]

——— modify private business use requirements for bonds issued for lead service line replacement projects (see S. 726), S742 [9MR] (see H.R. 1407), H1148 [7MR]

——— modify treatment of certain rents received by real estate investment trusts from related parties (see H.R. 3749), H2664 [30MY]

——— permit election relative to property transferred in connection with services to be made in electronic form (see H.R. 2611), H1725 [13AP]

——— provide tax credit to issuers of American Infrastructure bonds (see S. 1695), S1743 [18MY]

——— repeal estate tax and retain stepped-up basis at death (see H.R. 338), H233 [12JA]

——— repeal excise tax on repurchase of corporate stock (see H.R. 515), H323 [25JA]

——— restore limitation on downward attribution of stock ownership in applying constructive ownership rules to controlled foreign corporations (see H.R. 5751), H4712 [27SE]

——— restore tax exemption for advance refunding bonds (see S. 1453), S1533 [4MY] (see H.R. 1837), H1527 [28MR]

——— restore taxable real estate investment trust (REIT) subsidiary asset test (see H.R. 5275), H4204 [25AU]

——— treat as outstanding any employee-owned stock purchased by business enterprise pursuant to certain employee stock ownership retirement plans under tax on private foundation excess business holdings (see H.R. 6440), H5893 [15NO]

Technology: provide for regulation of digital assets (see H.R. 5745), H4712 [27SE]

Letters

Access to Small Business Investor Capital Act: Public Citizen (organization), H3121 [23JN]

Disapprove Dept. of Labor rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’: Hanneke Smits, Bank of New York Mellon Corp., H938 [28FE]

——— John Gray, Service Employees International Union, H937 [28FE]

——— Nikita Singhal and Jennifer Anderson, Lazard Asset Management, LLC, H939 [28FE]

——— several organizations, H937, H938 [28FE]

——— William Samuel, AFL–CIO, H936 [28FE]

Except quotations of fixed-income securities from certain SEC regulatory requirements: Public Citizen (organization), H3121 [23JN]

Retirement Fairness for Charities and Educational Institutions Act: Public Citizen (organization), H3121 [23JN]

Messages

National Emergency Relative to Threat From Securities Investments That Finance Certain Chinese Companies: President Biden, S5359 [6NO], H5463 [6NO]

Veto of H.J. Res. 30, Disapprove Dept. of Labor Rule Entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’: President Biden, H1299 [21MR], H1384 [23MR]

Remarks in House

Cryptocurrency: provide for regulation of payment stablecoins (H.R. 4766), H3878 [20JY]

Depository Trust & Clearing Corp.: anniversary, E428 [11MY]

Dept. of Defense: address concerns over defense contractor use of public funds for stock buybacks, H2297 [11MY]

Dept. of Labor: disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’ (H.J. Res. 30), H932–H941 [28FE]

——— disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’ (H.J. Res. 30), consideration (H. Res. 166), H924–H930 [28FE]

——— disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’ (H.J. Res. 30), postpone consideration of veto message (H. Res. 199), H1161–H1173 [8MR]

——— disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’ (H.J. Res. 30), veto, H1335, H1383–H1386 [23MR]

——— prohibit funding to crack down on junk fees in retirement investment advice, H5813, H5814 [14NO]

——— prohibit funding to finalize, implement, or enforce proposed amendments to class prohibited transaction exemptions (PTEs) available to investment advice fiduciaries, H5812, H5813 [14NO]

——— prohibit funding to implement rule entitled ‘‘Retirement Security Rule—Definition of an Investment Advice Fiduciary’’ or any substantially similar rule, H5812 [14NO]

Dept. of the Treasury: allow for transfer and redemption of abandoned savings bonds, E20 [11JA]

ERISA: permit default investment arrangements in annuities (H.R. 3942), E1028 [30OC]

Financial institutions: restore certain provisions of law to separate investment banking from commercial banking (H.R. 2714), H1875 [19AP]

——— support community banks, H1306 [22MR]

Government: express support for comprehensive political reform plan (H. Res. 938), H6926 [13DE]

Investments: postpone date of payment or satisfaction upon redemption of certain securities in the case of financial exploitation of specified adults (H.R. 500), H498–H501 [30JA]

Members of Congress: require Members, spouses, and dependent children to place certain assets into blind trusts (H.R. 345), H516 [31JA]

Power resources: prohibit fossil fuel companies that engaged in stock buybacks from leasing land in plan to increase oil and gas production in conjunction with drawdown from Strategic Petroleum Reserve, H405 [26JA]

SEC: amend definition of accredited investor (H.R. 1579), H2719–H2721 [5JN]

——— amend Federal securities laws to specify periods for which financial statements are required to be provided by emerging growth company (H.R. 2608), H2723–H2726 [5JN]

——— authorize exclusion of shareholder proposals from proxy or consent solicitation material if proposals substantially implement, duplicate, or are substantially similar to previously included proposals (H.R. 4644), H3903 [25JY]

——— carry out study and rulemaking on definition of term ‘‘small entity’’ for purposes of securities laws (H.R. 2792), H2652, H2653 [30MY]

——— codify certain no-action letters that exclude brokers and dealers compensated for certain research services from definition of investment adviser (H.R. 2622), H3184, H3185 [11JY]

——— codify certain qualifications of individuals as accredited investors for purposes of securities laws (H.R. 835), H2717–H2719 [5JN]

——— establish Senior Investor Taskforce (H.R. 2593), H2721–H2723 [5JN]

——— expand ability to use testing the waters and confidential draft registration submissions to encourage initial public offerings (H.R. 2793), H2727–H2729 [5JN]

——— prohibit funding to finalize, implement, or enforce rule entitled ‘‘Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers’’, H5628 [8NO]

——— prohibit funding to implement or enforce rule entitled ‘‘Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews’’, H5626, H5627 [8NO]

——— prohibit funding to implement rule entitled ‘‘Amendments to Public Company Accounting Oversight Board Auditing Standards Related to a Company’s Noncompliance With Laws and Regulations; And Other Related Amendments’’, H5631 [8NO]

——— prohibit funding to implement rule entitled ‘‘Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure’’, H5630, H5631 [8NO]

——— promulgate rules relative to electronic delivery of certain required disclosures (H.R. 1807), H2971 [20JN]

——— require certification examinations for accredited investors (H.R. 2797), H2656–H2658 [30MY], H2971 [20JN], E525 [6JN]

——— require issuers with multi-class stock structure to make certain disclosures in any proxy or consent solicitation material (H.R. 2795), H2653, H2654 [30MY]

Taxation: ensure that bonds used to finance professional sports stadiums are not treated as tax-exempt bonds (H.R. 993), E123 [14FE]

Remarks in Senate

Dept. of Labor: disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’, S406 [15FE]

——— disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’ (H.J. Res. 30), S541, S543, S550–S556 [1MR], S629 [2MR], S917 [23MR]

——— disapprove rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’ (S.J. Res. 8), S546, S547, S548 [1MR]

——— rule allowing retirement plan fiduciaries to consider environmental, social, and governance (ESG) factors when making investment decisions, S434, S436 [16FE]

Economy: jump-start economic recovery through formation and growth of new businesses, S2270 [10JY]

Federal employees: prohibit sums in Thrift Savings Plan from being invested in securities listed on certain foreign exchanges, S3726 [27JY]

Fidelity Investments (company): decision to offer cryptocurrency investment option in retirement plans, S183 [1FE]

Public Company Accounting Oversight Board: promote transparency by making disciplinary proceedings open to public (S. 865), S832 [16MR]

SEC: disapprove rule entitled ‘‘Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure’’ (S.J. Res. 50), unanimous-consent agreement, S6077 [20DE]

——— enhance civil penalties under Federal securities laws (S. 837), S827 [16MR]

——— enhance disclosures by certain investment advisers and investment companies about environmental, social, and governance (ESG) practices, S1484 [3MY]

——— further enhance anti-retaliation protections for whistleblowers (S. 811), S768 [14MR], S3741 [27JY]

Reports filed

Accredited Investor Definition Review Act: Committee on Financial Services (House) (H.R. 1579) (H. Rept. 118–92), H2739 [5JN]

Aligning SEC Regulations for the World Bank’s International Development Association Act: Committee on Financial Services (House) (H.R. 1161) (H. Rept. 118–289), H6079 [1DE]

Businesses Over Activists Act: Committee on Financial Services (House) (H.R. 4655) (H. Rept. 118–326), H6996 [19DE]

Consideration of H.J. Res. 30, Disapprove Dept. of Labor Rule Entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’: Committee on Rules (House) (H. Res. 166) (H. Rept. 118–4), H967 [28FE]

Encouraging Public Offerings Act: Committee on Financial Services (House) (H.R. 2793) (H. Rept. 118–90), H2739 [5JN]

Enhancing Multi-Class Share Disclosures Act: Committee on Financial Services (House) (H.R. 2795) (H. Rept. 118–79), H2664 [30MY]

Equal Opportunity for All Investors Act: Committee on Financial Services (House) (H.R. 2797) (H. Rept. 118–77), H2664 [30MY]

Expanding Access to Capital Act: Committee on Financial Services (House) (H.R. 2799) (H. Rept. 118–143), H3638 [17JY]

Fair Investment Opportunities for Professional Experts Act: Committee on Financial Services (House) (H.R. 835) (H. Rept. 118–87), H2739 [5JN]

Guiding Uniform and Responsible Disclosure Requirements and Information Limits Act: Committee on Financial Services (House) (H.R. 4790) (H. Rept. 118–336), H7006 [22DE]

Health Data Access, Transparency, and Affordability (Health DATA) Act: Committee on Education and the Workforce (House) (H.R. 4527) (H. Rept. 118–260), H5227 [1NO]

Helping Angels Lead Our Startups (HALOS) Act: Committee on Financial Services (House) (H.R. 1553) (H. Rept. 118–310), H6859 [12DE]

Improving Disclosure for Investors Act: Committee on Financial Services (House) (H.R. 1807) (H. Rept. 118–295), H6079 [1DE]

Postpone Consideration of Veto of H.J. Res. 30, Disapprove Dept. of Labor Rule Entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’: Committee on Rules (House) (H. Res. 199) (H. Rept. 118–7), H1147 [7MR]

Protecting Americans’ Retirement Savings From Politics Act: Committee on Financial Services (House) (H.R. 4767) (H. Rept. 118–324), H6996 [19DE]

Retirement Fairness for Charities and Educational Institutions Act: Committee on Financial Services (House) (H.R. 3063) (H. Rept. 118–311), H6859 [12DE]

SEC Federal Securities Laws Amendment To Specify Periods for Which Financial Statements Are Required To Be Provided by Emerging Growth Company: Committee on Financial Services (House) (H.R. 2608) (H. Rept. 118–88), H2739 [5JN]

SEC No-Action Letters That Exclude Brokers and Dealers Compensated for Certain Research Services From Definition of Investment Adviser Codification: Committee on Financial Services (House) (H.R. 2622) (H. Rept. 118–134), H3203 [11JY]

Senior Security Act: Committee on Financial Services (House) (H.R. 2593) (H. Rept. 118–93), H2739 [5JN]

Small Entity Update Act: Committee on Financial Services (House) (H.R. 2792) (H. Rept. 118–80), H2664 [30MY]

Texts of

H. Res. 166, consideration of H.J. Res. 30, disapprove Dept. of Labor rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’, H924 [28FE]

H. Res. 199, postpone consideration of veto message of H.J. Res. 30, disapprove Dept. of Labor rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’, H1161 [8MR]

H.J. Res. 30, disapprove Dept. of Labor rule entitled ‘‘Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights’’, H932 [28FE]

H.R. 500, Financial Exploitation Prevention Act, H498 [30JA]

H.R. 835, Fair Investment Opportunities for Professional Experts Act, H2717 [5JN]

H.R. 1579, Accredited Investor Definition Review Act, H2719 [5JN]

H.R. 2593, National Senior Investor Initiative Act, H2721 [5JN]

H.R. 2608, amend Federal securities laws to specify periods for which financial statements are required to be provided by emerging growth company, H2723 [5JN]

H.R. 2622, codify certain SEC no-action letters that exclude brokers and dealers compensated for certain research services from definition of investment adviser, H3184 [11JY]

H.R. 2792, Small Entity Update Act, H2652 [30MY]

H.R. 2793, Encouraging Public Offerings Act, H2727 [5JN]

H.R. 2795, Enhancing Multi-Class Share Disclosures Act, H2653 [30MY]

H.R. 2797, Equal Opportunity for All Investors Act, H2656 [30MY]

S. 3416, Climate Change Resiliency Fund for America Act, S5809 [6DE]

S. Con. Res. 12, recognize need for sustainable, economically viable, and fair debt restructuring plan for Puerto Rico Electric Power Authority, S2367 [12JY]