Securities And Exchange Commission (sec)
US Congress 115th Congress
Encouraging Employee Ownership Act of 2017 [HB-1343]
[Labor, Jobs, Employment ]
[Small Business ]
[Finance ]
[Investments ]
Encouraging Employee Ownership Act of 2017 (Sec. 2) This bill requires the Securities and Exchange Commission to increase, from $5 million to $10 million, the 12-month sales threshold beyond which an issuer is required to provide investors with additional disclosures related to compensatory benefit plans.
Sponsored by: Rep. John K. Delaney
Received In The Senate And Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 04/05/2017
Spread the world
Gettr US Congress 115th Congress
JOBS and Investor Confidence Act of 2018 [S.488]
[Finance ]
[Labor, Jobs, Employment ]
[Small Business ]
[Investments ]
JOBS and Investor Confidence Act of 2018 (Sec. 2) This bill requires the Securities and Exchange Commission to increase, from $5 million to $10 million, the 12-month sales threshold beyond which an issuer is required to provide investors with additional disclosures related to compensatory benefit plans.
Sponsored by: Sen. Mark R. Warner
Message On House Action Received In Senate And At Desk: House Amendments To Senate Bill. on 07/18/2018
Spread the world
US Congress 115th Congress
Securities and Exchange Commission Overpayment Credit Act [S.462]
[Finance ]
[Taxes ]
[Consumer Protection ]
[Investments ]
Securities and Exchange Commission Overpayment Credit Act (Sec. 2) This bill requires the Securities and Exchange Commission (SEC) to offset future fees and assessments due from a national securities exchange or association that: (1) has previously overpaid such fees and assessments, and (2) informs the SEC of the overpayment within 10 years.
Sponsored by: Sen. Mark R. Warner
Received In The House. on 09/12/2017
Spread the world
US Congress 115th Congress
Securities and Exchange Commission Overpayment Credit Act [HB-1257]
[Finance ]
[Taxes ]
[Investments ]
Securities and Exchange Commission Overpayment Credit Act (Sec. 2) This bill requires the Securities and Exchange Commission (SEC) to offset future fees and assessments due from a national securities exchange or association that: (1) has previously overpaid such fees and assessments, and (2) informs the SEC of the overpayment within 10 years.
Sponsored by: Rep. Gregory W. Meeks
Reported (amended) By The Committee On Financial Services. H. Rept. 115-275. on 08/15/2017
Spread the world
US Congress 115th Congress
Small Business Capital Formation Enhancement Act [S.416]
[Finance ]
[Small Business ]
[Economic Development ]
[Investments ]
Small Business Capital Formation Enhancement Act (Sec. 2) This bill amends the Small Business Investment Incentive Act of 1980 with respect to the annual government-business forum of the Securities and Exchange Commission (SEC) to review the current status of problems and programs relating to small business capital formation. The SEC shall review each of the forum's findings and recommendations and issue a public statement promptly assessing it and disclosing the action, if any, the SEC intends to take with respect to it.
Sponsored by: Sen. Joe Donnelly
Received In The House. on 09/12/2017
Spread the world
US Congress 115th Congress
Improving Corporate Governance Through Diversity Act of 2017 [HB-970]
[Labor, Jobs, Employment ]
[Race and Civil Rights ]
[Veterans ]
[Disabilities ]
[Human Rights ]
[Finance ]
Improving Corporate Governance Through Diversity Act of 2017 This bill directs executive agencies to require any covered contractor (a for-profit business with gross receipts exceeding $1 billion for the previous year) awarded a contract of $5 million or more to submit, within 60 days: data on the racial, ethnic, and gender composition of such contractor's board of directors and senior executives; data on the affiliation of any such board member or executive to a historically underrepresented group, including veterans and individuals with disabilities;
(continued...)
Sponsored by: Rep. Barbara Lee
Introduced In House on 02/07/2017
Spread the world
US Congress 115th Congress
Fair Access to Investment Research Act of 2017 [HB-910]
[Finance ]
[Investments ]
[Consumer Protection ]
Fair Access to Investment Research Act of 2017 (Sec. 2) This bill directs the Securities and Exchange Commission (SEC) to establish and implement a "safe harbor" for certain investment fund research reports published by brokers and dealers. Such reports shall be deemed not to be "offers" under specified provisions of securities law, even if the broker or dealer participates in the registered offering of the investment fund's securities. In implementing the safe harbor, the SEC must prohibit a self-regulatory organization from maintaining or enforcing
(continued...)
Sponsored by: Rep. Luke Messer
Received In The Senate And Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 05/02/2017
Spread the world
US Congress 115th Congress
Fair Access to Investment Research Act of 2017 [S.327]
[Finance ]
[Investments ]
[Small Business ]
[Technology and Innovation ]
[Consumer Protection ]
Fair Access to Investment Research Act of 2017 (Sec. 2) This bill directs the Securities and Exchange Commission (SEC) to establish and implement a "safe harbor" for certain investment fund research reports published by brokers and dealers. Such reports shall be deemed not to be "offers" under specified provisions of securities law, even if the broker or dealer participates in the registered offering of the investment fund's securities. In implementing the safe harbor, the SEC must prohibit a self-regulatory organization from maintaining or enforcing
(continued...)
Sponsored by: Sen. David Perdue
Became Public Law No: 115-66. (txt | Pdf) on 10/06/2017
Spread the world
US Congress 115th Congress
Financial Services Conflict of Interest Act [HB-859]
[Finance ]
[Ethics ]
[Labor, Jobs, Employment ]
[Law Enforcement ]
[Consumer Protection ]
Financial Services Conflict of Interest Act This bill amends the Ethics in Government Act of 1978 and other laws to: expand restrictions on federal government employees' acceptance of compensation from nongovernment sources, generally require certain financial-services regulators to recuse themselves from any official action that would provide a direct and substantial pecuniary benefit for a recent former employer or client, generally prohibit such a regulator from participating in matters that involve an individual or entity with whom the regulator
(continued...)
Sponsored by: Rep. Michael E. Capuano
Referred To The Subcommittee On The Constitution And Civil Justice. on 03/02/2017
Spread the world
US Congress 115th Congress
Financial Services Conflict of Interest Act [S.265]
[Finance ]
[Ethics ]
[Labor, Jobs, Employment ]
[Law Enforcement ]
[Consumer Protection ]
Financial Services Conflict of Interest Act This bill amends the Ethics in Government Act of 1978 and other laws to: expand restrictions on federal government employees' acceptance of compensation from nongovernment sources, generally require certain financial-services regulators to recuse themselves from any official action that would provide a direct and substantial pecuniary benefit for a recent former employer or client, generally prohibit such a regulator from participating in matters that involve an individual or entity with whom the regulator
(continued...)
Sponsored by: Sen. Sheldon Whitehouse
Read Twice And Referred To The Committee On Homeland Security And Governmental Affairs. on 02/01/2017
Spread the world
US Congress 115th Congress
Providing for congressional disapproval under chapter 8 of title 5, United States Code, of a rule submitted by the Securities and Exchange Commission relating to "Disclosure of Payments by Resource Extraction Issuers". [HJR-41]
[Energy ]
[Finance ]
[Trade ]
[Consumer Protection ]
[Mining ]
Providing for congressional disapproval under chapter 8 of title 5, United States Code, of a rule submitted by the Securities and Exchange Commission relating to "Disclosure of Payments by Resource Extraction Issuers". This joint resolution nullifies the "Disclosure of Payments by Resource Extraction Issuers" rule finalized by the Securities and Exchange Commission on July 27, 2016. (The rule, mandated under the Dodd-Frank Wall Street Reform and Consumer Protection Act, requires resource extraction issuers to disclose payments made to governments
(continued...)
Sponsored by: Rep. Alexander Mooney
Became Public Law No: 115-4. (txt | Pdf) on 02/14/2017
Spread the world
US Congress 115th Congress
A joint resolution providing for congressional disapproval under chapter 8, of title 5, United States Code, of the rule submitted by the Securities and Exchange Commission relating to the disclosure of payments by resource extraction issuers. [SJR-9]
[Energy ]
[Finance ]
[Trade ]
[Consumer Protection ]
[Mining ]
A joint resolution providing for congressional disapproval under chapter 8, of title 5, United States Code, of the rule submitted by the Securities and Exchange Commission relating to the disclosure of payments by resource extraction issuers. This joint resolution nullifies the "Disclosure of Payments by Resource Extraction Issuers" rule finalized by the Securities and Exchange Commission on July 27, 2016. (The rule, mandated under the Dodd-Frank Wall Street Reform and Consumer Protection Act, requires resource extraction issuers to disclose payments
(continued...)
Sponsored by: Sen. Mike Lee
Committee On Small Business And Entrepreneurship. Hearings Held. on 05/15/2018
Spread the world
US Congress 115th Congress
Markets and Trading Reorganization Act [HB-594]
[Finance ]
[Technology and Innovation ]
[Consumer Protection ]
Markets and Trading Reorganization Act This bill establishes the Securities and Derivatives Commission as an independent regulatory body and transfers to the commission all functions, officers, and components of the Commodity Futures Trading Commission and the Securities and Exchange Commission. The new commission shall establish the following principal divisions: (1) a Markets and Trading Division that has oversight of market conduct and utilities, the conduct of market professionals, and self-regulatory organizations with regard to such market
(continued...)
Sponsored by: Rep. Michael E. Capuano
Referred To The Subcommittee On Commodity Exchanges, Energy, And Credit. on 02/13/2017
Spread the world
US Congress 115th Congress
Shareholder Protection Act of 2017 [HB-376]
[Finance ]
[Elections ]
[Ethics ]
[Funding ]
Shareholder Protection Act of 2017 This bill amends the Securities Exchange Act of 1934 to require shareholder authorization with respect to certain political expenditures by an issuer. A violation of this requirement shall be considered a breach of fiduciary duty, and the officers and directors who authorized the expenditure shall be subject to joint and several liability. The Securities and Exchange Commission must direct the national securities exchanges and associations to prohibit the listing of any equity security of an issuer whose corporate
(continued...)
Sponsored by: Rep. Gerald E. Connolly
Introduced In House on 01/09/2017
Spread the world
US Congress 115th Congress
Nothing Off Balance Sheet Act of 2017 [HB-318]
[Finance ]
[Investments ]
Nothing Off Balance Sheet Act of 2017 This bill directs the Securities and Exchange Commission, in establishing accounting principles or standards under the securities laws, to require any person subject to those principles or standards to show all transactions on the person's balance sheet.
Sponsored by: Rep. Michael E. Capuano
Introduced In House on 01/05/2017
Spread the world
US Congress 115th Congress
Keep Repos to Maturity on Balance Sheet Act of 2017 [HB-317]
[Finance ]
[Investments ]
Keep Repos to Maturity on Balance Sheet Act of 2017 This bill requires the Securities and Exchange Commission, in establishing accounting principles or standards for purposes of the securities laws, to require that a repurchase-to-maturity transaction be treated as a secured borrowing in which the transferred asset serves as collateral. A "repurchase-to-maturity transaction" is one in which: (1) a financial asset is transferred in exchange for cash, other financial assets, or letters of credit; and (2) the transferor and transferee agree that the
(continued...)
Sponsored by: Rep. Michael E. Capuano
Introduced In House on 01/05/2017
Spread the world
US Congress 115th Congress
SEC Regulatory Accountability Act [HB-78]
[Finance ]
[Small Business ]
[Consumer Protection ]
[Law Enforcement ]
[Economic Development ]
SEC Regulatory Accountability Act (Sec. 2) This bill amends the Securities Exchange Act of 1934 to direct the Securities and Exchange Commission (SEC) to: before issuing a regulation under the securities laws, identify the nature and source of the problem that the proposed regulation is designed to address; adopt a regulation only upon a reasoned determination that its benefits justify its costs; identify and assess available alternatives to any regulation; and ensure that any regulation is accessible, consistent, written in plain language, and
(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 01/17/2017
Spread the world
US Congress 115th Congress
HALOS Act Helping Angels Lead Our Startups Act [HB-79]
[Finance ]
[Small Business ]
[Technology and Innovation ]
[Investments ]
[Economic Development ]
HALOS Act Helping Angels Lead Our Startups Act (Sec. 3) This bill directs the Securities and Exchange Commission (SEC) to revise Regulation D, which exempts certain offerings from SEC registration requirements but prohibits general solicitation or general advertising with respect to such offerings. Specifically, this prohibition shall not apply to events with specified kinds of sponsors -- including "angel investor groups" unconnected to broker-dealers or investment advisers -- where presentations or communications are made by or on behalf of an
(continued...)
Sponsored by: Rep. Ryan A. Costello
Received In The Senate And Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 01/11/2017
Spread the world
US Congress 115th Congress
HOME Act Housing Opportunities Made Easier Act [HB-2255]
[Housing ]
[Small Business ]
[Senior Citizens ]
[Law Enforcement ]
[Consumer Protection ]
[Finance ]
HOME Act Housing Opportunities Made Easier Act TITLE I--HOUSING OPPORTUNITIES MADE EASIER (Sec. 101) This bill amends the Truth in Lending Act to deem mortgage appraisal services donated by a fee appraiser to an organization that is eligible to receive tax-deductible charitable contributions to be customary and reasonable. TITLE II--EXPANDING ACCESS TO CAPITAL FOR RURAL JOB CREATORS (Sec. 201) The bill amends the Securities Exchange Act of 1934 to require the Advocate for Small Business Capital Formation within the Securities and Exchange Commission
(continued...)
Sponsored by: Sen. Kyrsten Lee Sinema
Received In The Senate And Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 01/30/2018
Spread the world
US Congress 115th Congress
Financial CHOICE Act of 2017 [HB-10]
[Finance ]
[Insurance ]
[Small Business ]
[Consumer Protection ]
[Investments ]
[Housing ]
[Real Estate ]
[Budget and Spending ]
[Taxes ]
[Technology and Innovation ]
[Trade ]
[Economic Development ]
[Senior Citizens ]
[Retirement ]
Financial CHOICE Act of 2017 (Sec. 2) This bill repeals provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act and other laws. Any rule that was issued or revised pursuant to a provision repealed by the bill is nullified. TITLE I--ENDING "TOO BIG TO FAIL" AND BANK BAILOUTS Subtitle A--Repeal of the Orderly Liquidation Authority (Sec. 111) The bill repeals the orderly liquidation authority of the Federal Deposit Insurance Corporation (FDIC). The FDIC's orderly liquidation authority, as established under the Dodd-Frank Act, allows
(continued...)
Sponsored by: Rep. Alexander Mooney
Committee On Banking, Housing, And Urban Affairs. Hearings Held. Hearings Printed: S.hrg. 115-108. on 07/13/2017