Securities And Exchange Commission (sec)

Federal
US Congress 113th Congress

Small Business Capital Access and Job Preservation Act [HB-1105] [Finance ] [Labor, Jobs, Employment ] [Small Business ] [Economic Development ] [Investments ]
Small Business Capital Access and Job Preservation Act - Amends the Investment Advisers Act of 1940 to exempt private equity fund investment advisers from its registration and reporting requirements, provided that each private equity fund has not borrowed and does not have outstanding a principal amount exceeding twice its invested capital commitments. Directs the Securities and Exchange Commission (SEC) to promulgate final rules that: (1) require such investment advisers to maintain records the SEC determines necessary, taking into account fund (continued...)

  

Sponsored by: Rep. David Scott Received In The Senate And Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 12/09/2013

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Federal
US Congress 113th Congress

SEC Regulatory Accountability Act [HB-1062] [Finance ] [Small Business ] [Consumer Protection ] [Technology and Innovation ] [Economic Development ]
SEC Regulatory Accountability Act - (Sec. 2) Amends the Securities Exchange Act of 1934 (Act) to direct the Securities and Exchange Commission (SEC), before issuing a regulation under the securities laws, to: (1) identify the nature and source of the problem that the proposed regulation is designed to address in order to assess whether any new regulation is warranted; (2) use the SEC Chief Economist to assess the costs and benefits of the intended regulation and adopt it only upon a reasoned determination that its benefits justify the costs; (3) (continued...)

  

Sponsored by: Rep. Ann Wagner Received In The Senate And Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 05/20/2013

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Federal
US Congress 116th Congress

CTF Act China Task Force Act [HB-12] [International ] [Human Rights ] [Trade ] [Waste Management / Recycling ] [Environmental ] [Climate Change ] [Manufacturing ]
Enacts specified legislation related to China and other issues, including legislation (1) authorizing activities to counter the global malign influence of the Chinese Communist Party, (2) prohibiting certain imports from China's Xinjiang Uyghur Autonomous region and imposing sanctions on those responsible for human rights violations there, (3) authorizing the Department of State to make publicly available certain records relating to a visa denial based on an alien's involvement in human rights violations, (4) authorizing the State Department and (continued...)

  

Sponsored by: Rep. Darin LaHood Referred To The Subcommittee On Economic Development, Public Buildings, And Emergency Management. on 10/21/2020

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Federal
US Congress 116th Congress

Developing and Empowering our Aspiring Leaders Act of 2020 [HB-8603] [Finance ] [Small Business ] [Investments ]
Directs the Securities and Exchange Commission (SEC) to revise venture capital investment regulations. Specifically, the bill allows investments acquired through secondary transactions to be considered as qualifying investments for venture capital funds. However, for a private fund to qualify as a venture capital fund, the investments predominately must be acquired directly. Under current law, non-qualifying investments—which include secondary transactions—may comprise up to 20% of a venture capital fund.

  

Sponsored by: Rep. Trey Hollingsworth Introduced In House on 10/16/2020

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Federal
US Congress 112th Congress

Foreclosure Fraud and Homeowner Abuse Prevention Act of 2011 [S.824] [Finance ] [Real Estate ] [Housing ] [Consumer Protection ] [Insurance ] [Law Enforcement ]
Foreclosure Fraud and Homeowner Abuse Prevention Act of 2011 - Amends the Trust Indenture Act of 1939 to include within its purview mortgage-backed securities and their servicers. Imposes upon each servicer of a mortgage-backed security a fiduciary duty, not waivable by an investor, to protect the economic interests of the investors as a whole in an asset-backed security. Provides for removal of an indenture trustee that is a servicer of mortgage-backed securities if at least 50% of the investors petition the court for such removal. Authorizes amendment (continued...)

  

Sponsored by: Sen. Bernard Sanders Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 04/14/2011

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Federal
US Congress 112th Congress

A bill to amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes. [S.556] [Finance ] [Investments ] [Small Business ] [Economic Development ]
Amends the Securities Exchange Act of 1934 regarding registration of securities to modify the registration threshold for an issuer that is either a bank or a bank holding company as well as for an issuer that is neither a bank nor a bank holding company. Raises from $1 million to $10 million the threshold for total assets of an issuer that requires registration of a certain class of equity security. Divides the holding threshold that requires registration of such a class of equity security, however, into: (1) 2,000 holders of record if the issuer (continued...)

  

Sponsored by: Sen. Claire McCaskill Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 03/10/2011

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Federal
US Congress 112th Congress

Terminating the Expansion of Too-Big-To-Fail Act of 2012 [S.3497] [Finance ] [Budget and Spending ] [Consumer Protection ] [Economic Development ]
Terminating the Expansion of Too-Big-To-Fail Act of 2012 - Amends the Financial Stability Act of 2010, title I of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), the Federal Deposit Insurance Act, and the Federal Reserve Act to eliminate all supervision by the Board of Governors of the Federal Reserve System (Board) of domestic and foreign nonbank financial companies, including new or heightened standards and safeguards and minimum leverage capital requirements. Eliminates the duty of the Financial Stability Oversight (continued...)

  

Sponsored by: Sen. David Vitter Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 08/02/2012

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Federal
US Congress 112th Congress

Independent Agency Regulatory Analysis Act of 2012 [S.3468] [Budget and Spending ] [Consumer Protection ]
Independent Agency Regulatory Analysis Act of 2012 - Authorizes the President to require an independent regulatory agency to: (1) comply, to the extent permitted by law, with regulatory analysis requirements applicable to other federal agencies; (2) provide the Administrator of the Office of Information and Regulatory Affairs with an assessment of the costs and benefits of a proposed or final significant rule (i.e., a rule that is likely to have an annual effect on the economy of $100 million or more and is likely to adversely affect sectors of (continued...)

  

Sponsored by: Sen. Susan M. Collins Read Twice And Referred To The Committee On Homeland Security And Governmental Affairs. on 08/01/2012

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Federal
US Congress 112th Congress

Financial Services and General Government Appropriations Act, 2013 [S.3301] [Finance ] [Taxes ] [Budget and Spending ] [Small Business ] [Consumer Protection ] [Technology and Innovation ] [Telecommunications ] [Elections ] [Public Safety ] [Law Enforcement ] [National Security ] [Cybersecurity ] [Data Privacy ] [Healthcare ] [Public Health ] [Insurance ] [Labor, Jobs, Employment ] [Economic Development ] [Funding ] [Grants ] [Arts and Culture ] [Community Development ] [Education ] [Veterans ] [Military ] [Pensions ] [Retirement ] [Senior Citizens ] [Children and Youth ] [Criminal Justice ] [Housing ] [Real Estate ] [Transportation and Motor Vehicles ] [Infrastructure ] [Crime ]
Financial Services and General Government Appropriations Act, 2013 - Title I: Department of the Treasury - Department of the Treasury Appropriations Act, 2013 - Makes appropriations for FY2013 to the Department of the Treasury for: (1) departmental offices, (2) department-wide systems and capital investments programs, (3) the Office of Inspector General, (4) the Treasury Inspector General for Tax Administration, (5) the Special Inspector General for the Troubled Asset Relief Program (TARP), (6) the Financial Crimes Enforcement Network, (7) the Alcohol (continued...)

  

Sponsored by: Sen. Richard Durbin Committee On Appropriations. Original Measure Reported To Senate By Senator Durbin. With Written Report No. 112-177. on 06/14/2012

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Federal
US Congress 112th Congress

SEC Regulatory Accountability Act [S.2373] [Finance ] [Consumer Protection ]
SEC Regulatory Accountability Act - Amends the Securities Exchange Act of 1934 to require the Securities and Exchange Commission (SEC), before promulgating a regulation or issuing any order, to: (1) identify the nature and significance of the problem that the proposed regulation is designed to address in order to assess whether any new regulation is warranted; (2) use the Office of the Chief Economist to assess the costs and benefits of the intended regulation and adopt it only on a determination that its benefits justify the costs; (3) ensure that (continued...)

  

Sponsored by: Sen. David Vitter Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 04/26/2012

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Federal
US Congress 112th Congress

Capital Raising Online While Deterring Fraud and Unethical Non-Disclosure Act of 2012 [S.2190] [Finance ] [Technology and Innovation ] [Small Business ] [Consumer Protection ] [Cybersecurity ] [Economic Development ] [Law Enforcement ] [Funding ] [Investments ] [Crime ]
Capital Raising Online While Deterring Fraud and Unethical Non-Disclosure Act of 2011 or CROWDFUND Act - Amends the Securities Act of 1933 (SA) to prescribe conditions under which transactions of $1 million or less involving the offer or sale of securities by an issuer through a broker or funding portal are exempt from certain registration requirements and prohibitions relating to interstate commerce and the mails (crowdfunding exemption). (Crowdfunding is a method of capital formation by which groups of people pool money, typically composed of (continued...)

  

Sponsored by: Sen. Jeff Merkley Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 03/13/2012

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Federal
US Congress 112th Congress

CUT Loopholes Act [S.2075] [Finance ] [Taxes ] [International ] [Small Business ] [Cybersecurity ] [Law Enforcement ] [National Security ] [Trade ] [Budget and Spending ] [Economic Development ] [Crime ]
Cut Unjustified Tax Loopholes Act or the CUT Loopholes Act - Authorizes the Secretary of the Treasury to impose restrictions on foreign jurisdictions or financial institutions operating in the United States that are of primary money laundering concern or that impede U.S. tax enforcement. Amends the Internal Revenue Code to: (1) establish a rebuttable presumption against the validity of transactions by institutions that do not comply with reporting requirements under the Foreign Account Tax Compliance Act; (2) treat certain foreign corporations (continued...)

  

Sponsored by: Sen. Sheldon Whitehouse Sponsor Introductory Remarks On Measure. (cr S389-390) on 02/07/2012

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Federal
US Congress 112th Congress

STOCK Act [S.2038] [Ethics ] [Finance ] [Law Enforcement ] [Pensions ] [Public Safety ] [Crime ]
Stop Trading on Congressional Knowledge Act of 2012 or STOCK Act - (Sec. 3) Requires the congressional ethics committees to issue interpretive guidance of the rules of each chamber, including rules on conflicts of interest and gifts, with respect to the prohibition against the use by Members of Congress and congressional employees (including legislative branch officers and employees), as a means for making a private profit, of any nonpublic information derived from their positions as Members or congressional employees, or gained from performance (continued...)

  

Sponsored by: Sen. Joseph I. Lieberman By Senator Lieberman From Committee On Homeland Security And Governmental Affairs Filed Written Report. Report No. 112-244. on 12/03/2012

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Federal
US Congress 112th Congress

Capital Raising Online While Deterring Fraud and Unethical Non-Disclosure Act of 2011 [S.1970] [Finance ] [Technology and Innovation ] [Consumer Protection ] [Small Business ] [Cybersecurity ] [Data Privacy ] [Economic Development ] [Law Enforcement ] [Science ] [Crime ]
Capital Raising Online While Deterring Fraud and Unethical Non-Disclosure Act of 2011 or CROWDFUND Act - Amends the Securities Act of 1933 (SA) to prescribe conditions under which transactions of $1 million or less involving the offer or sale of securities by an issuer through a broker or funding portal are exempt from certain registration requirements and prohibitions relating to interstate commerce and the mails (crowdfunding exemption). (Crowdfunding is a method of capital formation by which groups of people pool money, typically composed of (continued...)

  

Sponsored by: Sen. Kirsten E. Gillibrand Committee On Banking, Housing, And Urban Affairs. Hearings Held. on 03/06/2012

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Federal
US Congress 112th Congress

Startup Expansion and Investment Act [S.1962] [Finance ] [Technology and Innovation ] [Small Business ] [Investments ] [Economic Development ]
Startup Expansion and Investment Act - Amends the Sarbanes-Oxley Act of 2002 to revise an exception to rules prescribed by the Securities and Exchange Commission (SEC) that require the annual reports of certain publicly traded securities issuers to contain: (1) an assessment of the issuer's internal control structure and procedures for financial reporting, and (2) an attestation to such assessment by each registered public accounting firm that prepares or issues an audit report for the issuer. Permits an issuer to elect not to provide such an assessment (continued...)

  

Sponsored by: Sen. John Barrasso Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 12/07/2011

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Federal
US Congress 112th Congress

A bill to amend the securities laws to establish certain thresholds for shareholder registration, and for other purposes. [S.1941] [Finance ] [Investments ]
Amends the Securities Exchange Act of 1934 regarding registration of securities to modify the registration threshold for an issuer that is either a bank or a bank holding company as well as for an issuer that is neither a bank nor a bank holding company. Raises from $1 million to $10 million the threshold for total assets of an issuer that requires registration of a certain class of equity security. Divides the holding threshold that requires registration of such a class of equity security, however, into: (1) 2,000 holders of record if the issuer (continued...)

  

Sponsored by: Sen. Claire McCaskill Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 12/05/2011

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Federal
US Congress 112th Congress

Reopening American Capital Markets to Emerging Growth Companies Act of 2011 [S.1933] [Finance ] [Small Business ] [Consumer Protection ] [Technology and Innovation ] [Investments ]
Reopening American Capital Markets to Emerging Growth Companies Act of 2011 - Amends the Securities Act of 1933 (SA) and the Securities Exchange Act of 1934 (SEA) to define "emerging growth company" as an issuer that had total annual gross revenues of less than $1 billion during its most recently completed fiscal year. Amends SEA and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 to exempt emerging growth companies from the requirement for separate shareholder approval of executive compensation, including golden parachute (continued...)

  

Sponsored by: Sen. Robert P. Casey Committee On Banking, Housing, And Urban Affairs. Hearings Held. on 03/06/2012

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Federal
US Congress 112th Congress

Stop Trading on Congressional Knowledge Act [S.1903] [Ethics ] [Finance ] [Law Enforcement ] [Public Safety ] [Technology and Innovation ] [Consumer Protection ]
Stop Trading on Congressional Knowledge Act - Amends the Securities Exchange Act of 1934 and the Commodity Exchange Act to direct both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) to prohibit purchase or sale of either securities, security-based swaps, or commodities for future delivery or swap by a person in possession of material nonpublic information regarding pending or prospective legislative action if the information was obtained: (1) knowingly from a Member or employee of Congress, (2) by (continued...)

  

Sponsored by: Sen. Robert P. Casey Committee On Homeland Security And Governmental Affairs. Hearings Held. Hearings Printed: S.hrg. 112-344. on 12/01/2011

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Federal
US Congress 112th Congress

Stop Trading on Congressional Knowledge Act [S.1871] [Finance ] [Ethics ] [Law Enforcement ] [Elections ] [Consumer Protection ]
Stop Trading on Congressional Knowledge Act - Amends the Securities Exchange Act of 1934 and the Commodity Exchange Act to direct both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) to prohibit purchase or sale of either securities, security-based swaps, or commodities for future delivery or swap by a person in possession of material nonpublic information regarding pending or prospective legislative action if the information was obtained: (1) knowingly from a Member or employee of Congress, (2) by (continued...)

  

Sponsored by: Sen. Susan M. Collins Committee On Homeland Security And Governmental Affairs. Hearings Held. Hearings Printed: S.hrg. 112-344. on 12/01/2011

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Federal
US Congress 112th Congress

Residential Mortgage Market Privatization and Standardization Act of 2011 [S.1834] [Finance ] [Real Estate ] [Housing ] [Insurance ] [Consumer Protection ] [Property Tax ]
Residential Mortgage Market Privatization and Standardization Act of 2011 - Amends the National Housing Act and the Federal Home Loan Mortgage Corporation Act to require the Director of the Federal Housing Finance Agency (FHFA) to begin reducing by at least 10% per year the percentage of the value of a trust certificate or other security that may be guaranteed by the Federal National Mortgage Association (Fannie Mae) or the Federal Home Loan Mortgage Corporation (Freddie Mac) (government-sponsored enterprises or GSEs). Covers single-family or multifamily (continued...)

  

Sponsored by: Sen. Bob Corker Committee On Banking, Housing, And Urban Affairs. Hearings Held. Hearings Printed: S.hrg. 112-408. on 11/15/2011

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