Securities And Exchange Commission (sec)
US Congress 116th Congress
Small Business Audit Correction Act of 2020 [HB-8983]
[Small Business ]
[Finance ]
[Consumer Protection ]
Exempts certain privately held, noncustody brokers and dealers in good standing from specified audit report requirements of the Public Company Accounting Oversight Board.
Sponsored by: Rep. French Hill
Introduced In House on 12/16/2020
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HALOS Act Helping Angels Lead Our Startups Act [S.978]
[Finance ]
[Small Business ]
[Technology and Innovation ]
[Investments ]
[Economic Development ]
HALOS Act Helping Angels Lead Our Startups Act Directs the Securities and Exchange Commission to amend Regulation D (governing the limited offer and sale of securities without registration under the Securities Act of 1933) to make the prohibition against general solicitation or general advertising inapplicable to events with specified kinds of sponsors (including angel investor groups not connected to broker-dealers or investment advisers) where: presentations or communications are made by or on behalf of an issuer, the advertising does not refer
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Sponsored by: Sen. Angus S. King
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 04/16/2015
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Data Security Act of 2015 [S.961]
[Cybersecurity ]
[Data Privacy ]
[Technology and Innovation ]
[Consumer Protection ]
[Law Enforcement ]
[Public Safety ]
[Science ]
[Crime ]
Data Security Act of 2015 Requires individuals, corporations, or other non-government entities that access, maintain, communicate, or handle sensitive account information or nonpublic personal information to implement an information security program and to notify consumers, federal law enforcement, appropriate administrative agencies, payment card networks, and consumer reporting agencies of certain data breaches of unencrypted sensitive information likely to cause identity theft or fraudulent transactions on consumer financial accounts. Directs
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Sponsored by: Sen. Christopher A. Coons
Read Twice And Referred To The Committee On Commerce, Science, And Transportation. on 04/15/2015
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CLEAR Relief Act of 2015 Community Lending Enhancement and Regulatory Relief Act of 2015 [S.812]
[Finance ]
[Consumer Protection ]
[Small Business ]
[Housing ]
CLEAR Relief Act of 2015 Community Lending Enhancement and Regulatory Relief Act of 2015 Amends the Sarbanes-Oxley Act of 2002 to exempt from its rules regarding management assessment of internal controls the following institutions which, as of the end of the preceding fiscal year, had total consolidated assets of $1 billion or less (adjusted annually according to a certain formula): (1) a bank holding company, (2) a savings and loan holding company, or (3) an insured depository institution. Amends the Truth in Lending Act (TILA) to require the
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Sponsored by: Sen. Chuck Grassley
Committee On Banking, Housing, And Urban Affairs. Hearings Held. on 04/16/2015
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Stop Illegal Insider Trading Act [S.702]
[Consumer Protection ]
[Finance ]
[Law Enforcement ]
[Public Safety ]
Stop Illegal Insider Trading Act This bill amends the Securities Exchange Act of 1934 governing manipulative and deceptive devices to make it unlawful for any person to: (1) purchase, sell, or cause the purchase or sale of any security on the basis of material information that the person knows or has reason to know is not publicly available; or (2) knowingly or recklessly communicate material information that the person knows or has reason to know is not publicly available to any other person under circumstances in which it is reasonably foreseeable
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Sponsored by: Sen. Jack Reed
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. (sponsor Introductory Remarks On Measure: Cr S1440-1441) on 03/11/2015
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Restoring Main Street Investor Protection and Confidence Act [S.67]
[Finance ]
[Consumer Protection ]
[Law Enforcement ]
[Investments ]
Restoring Main Street Investor Protection and Confidence Act Amends the Securities Investor Protection Act of 1970 to redefine "net equity." Bases the determination of net equity, the positions, options, and contracts of a customer reported to the customer as held by the debtor, and any indebtedness of the customer to the debtor, upon: (1) the information contained in the last statement issued by the debtor to the customer before the filing date; and (2) any additional written confirmations of the customer's positions, options, contracts, or indebtedness
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Sponsored by: Sen. Bill Cassidy
Committee On Banking, Housing, And Urban Affairs. Hearings Held. on 09/30/2015
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We the People Act of 2016 [S.6]
[Elections ]
[Ethics ]
[Finance ]
[Law Enforcement ]
[Funding ]
[Criminal Justice ]
[Crime ]
We the People Act of 2016 Democracy Is Strengthened by Casting Light On Spending in Elections Act of 2016 or the DISCLOSE Act of 2016 This bill amends the Federal Election Campaign Act of 1971 (FECA) to: redefine "independent expenditure" to expand the meaning of express advocacy for the election or defeat of a candidate; expand the period for treating communications as electioneering communications; repeal the prohibition against contributions by minors; and prescribe disclosure requirements for campaign-related disbursements by corporations, labor
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Sponsored by: Sen. Robert P. Casey
Read Twice And Referred To The Committee On Rules And Administration. on 06/16/2016
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Encouraging Employee Ownership Act [S.576]
[Labor, Jobs, Employment ]
[Small Business ]
[Inflation ]
[Investments ]
Encouraging Employee Ownership Act Directs the Securities and Exchange Commission to revise regulations to require an issuer to furnish investors with additional specified disclosures regarding compensatory benefit plans if the aggregate sales price or amount of securities sold during any consecutive 12-month period exceeds $10 million (currently $5 million), indexed for inflation every five years.
Sponsored by: Sen. Mark R. Warner
Committee On Banking, Housing, And Urban Affairs Subcommittee On Securities, Insurance, And Investment. Hearings Held. on 03/24/2015
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Fair Access to Investment Research Act of 2016 [S.3092]
[Finance ]
[Investments ]
Fair Access to Investment Research Act of 2016 This bill directs the Securities and Exchange Commission (SEC) to revise a specified regulation to create a safe harbor for certain publications or distributions of research reports by brokers or dealers distributing securities. The revised regulation shall declare that a published or distributed investment fund research report shall not be deemed to constitute an offer for sale or an offer to sell a security that is the subject of the offering pursuant to an effective registration statement, even if
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Sponsored by: Sen. Gary C. Peters
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 06/23/2016
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Financial Services and General Government Appropriations Act, 2017 [S.3067]
[Finance ]
[Cybersecurity ]
[Technology and Innovation ]
[Budget and Spending ]
[Small Business ]
[Consumer Protection ]
[Data Privacy ]
[Economic Development ]
[Elections ]
[Ethics ]
[Funding ]
[Grants ]
[Law Enforcement ]
[Telecommunications ]
[Trade ]
[Public Safety ]
[Taxes ]
[Crime ]
Financial Services and General Government Appropriations Act, 2017 Provides FY2017 appropriations for financial services and general government, including programs within the Department of the Treasury, the Executive Office of the President, the federal judiciary, the District of Columbia, and several independent agencies. Department of the Treasury Appropriations Act, 2017 TITLE I--DEPARTMENT OF THE TREASURY Provides appropriations to the Department of the Treasury for Departmental Offices, including: Salaries and Expenses, the Cybersecurity Enhancement
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Sponsored by: Sen. John Boozman
Committee On Appropriations. Original Measure Reported To Senate By Senator Boozman. With Written Report No. 114-280. on 06/16/2016
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SEC Small Business Advocate Act of 2016 [S.2867]
[Finance ]
[Small Business ]
[Investments ]
[Funding ]
[Economic Development ]
SEC Small Business Advocate Act of 2016 This bill amends the Securities Exchange Act of 1934 to establish within the Securities and Exchange Commission (SEC) an Office of the Advocate for Small Business Capital Formation. The Advocate for Small Business Capital Formation shall: assist small businesses and small business investors in resolving significant problems they may have with the SEC or with self-regulatory organizations; identify areas in which such businesses and investors would benefit from changes in SEC regulations or the rules of such
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Sponsored by: Sen. Heidi Heitkamp
Committee On Banking, Housing, And Urban Affairs. Hearings Held. on 06/14/2016
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Brokaw Act [S.2720]
[Finance ]
[Technology and Innovation ]
[Cybersecurity ]
[Data Privacy ]
[Investments ]
Brokaw Act This bill directs the Securities and Exchange Commission (SEC) to amend specified regulations to reflect a revision the bill makes to the Securities Exchange Act of 1934 reducing from 10 to 2 business days the deadline for disclosing to the SEC any acquisition of a direct or indirect short interest in an equity security of a certain kind of voting class that results in a direct or indirect short interest representing more than 5% of that class. The mandatory disclosures of short interests shall apply to: any class of equity security which
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Sponsored by: Sen. Bernard Sanders
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 03/17/2016
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A bill to update the oil and gas and mining industry guides of the Securities and Exchange Commission. [S.2716]
[Energy ]
[Mining ]
[Finance ]
[Investments ]
[Law Enforcement ]
A bill to update the oil and gas and mining industry guides of the Securities and Exchange Commission. This bill directs the Securities and Exchange Commission (SEC), within 180 days of enactment of this bill, to update: the Securities Act industry guides entitled "Prospectuses relating to interests in oil and gas programs" and "Description of Property by Issuers Engaged or To Be Engaged in Significant Mining Operations," the Exchange Act industry guide entitled "Description of Property by Issuers Engaged or To Be Engaged in Significant Mining Operations,"
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Sponsored by: Sen. Jack Reed
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. (sponsor Introductory Remarks On Measure: Cr S1597) on 03/17/2016
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WARN Act of 2016 Whistleblower Augmented Reward and Nonretaliation Act of 2016 [S.2591]
[Finance ]
[Labor, Jobs, Employment ]
[Consumer Protection ]
[Law Enforcement ]
[Crime ]
WARN Act of 2016 Whistleblower Augmented Reward and Nonretaliation Act of 2016 This bill amends the Financial Institutions Anti-Fraud Enforcement Act of 1990 governing the rights of a private person (declarant) who files a declaration of a violation giving rise to a federal action for civil penalties with respect to fraud crimes involving federally insured financial institutions. The bill revises the minimum and maximum percentage of a declarant's entitlement to share in the recovery by the United States from a judgment, order, or settlement that
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Sponsored by: Sen. Tammy Baldwin
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 02/25/2016
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Retail Investor Protection Act of 2016 [S.2497]
[Finance ]
[Consumer Protection ]
[Investments ]
Retail Investor Protection Act of 2016 This bill prohibits the Secretary of Labor from prescribing any regulation under the Employee Retirement Income Security Act of 1974 (ERISA) defining the circumstances under which an individual shall be considered a fiduciary until 60 days after the Securities and Exchange Commission (SEC) issues a final rule governing standards of conduct for brokers and dealers under specified law. The Securities Exchange Act of 1934 is amended to prohibit the SEC from promulgating a rule establishing an investment adviser
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Sponsored by: Sen. Lamar Alexander
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 02/04/2016
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Cybersecurity Disclosure Act of 2015 [S.2410]
[Cybersecurity ]
[Technology and Innovation ]
[Finance ]
[Data Privacy ]
Cybersecurity Disclosure Act of 2015 This bill directs the Securities and Exchange Commission (SEC) to issue final rules requiring each reporting company to: disclose in its mandatory annual report or annual proxy statement whether any member of its governing body has expertise or experience in cybersecurity, including details necessary to describe fully the nature of that expertise or experience; and if no member has such expertise or experience, describe what other company cybersecurity steps were taken into account by any persons, such as a nominating
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Sponsored by: Sen. Jack Reed
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. (sponsor Introductory Remarks On Measure: Cr S8795) on 12/17/2015
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Shareholder Protection Act of 2015 [S.214]
[Finance ]
[Elections ]
[Ethics ]
[Funding ]
[Law Enforcement ]
Shareholder Protection Act of 2015 Amends the Securities Exchange Act of 1934 to require that any solicitation of a proxy, consent, or authorization with respect to any security of an issuer: (1) describe the specific nature (to the extent known) and total amount of expenditures proposed for political activities for the forthcoming fiscal year but not yet authorized by a vote of the issuer's shareholders, and (2) provide for a separate shareholder vote to authorize such proposed expenditures. Prohibits an issuer from making an expenditure for political
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Sponsored by: Sen. Dianne Feinstein
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 01/21/2015
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An Act Making Appropriations to Stop Regulatory Excess and for Other Purposes, 2016 [S.2132]
[Finance ]
[Telecommunications ]
[Consumer Protection ]
[Public Lands and National Parks ]
[Healthcare ]
[Labor, Jobs, Employment ]
[Medicare and Medicaid ]
[Budget and Spending ]
[Education ]
[Social Security ]
[Children and Youth ]
[Environmental ]
[Public Health ]
[Mental Health ]
[Funding ]
[Grants ]
[Law Enforcement ]
[Energy ]
[Insurance ]
An Act Making Appropriations to Stop Regulatory Excess and for Other Purposes, 2016 Provides FY2016 appropriations for financial services and general government; the Department of the Interior and the Environmental Protection Agency; the Departments of Labor, Health and Human Services, and Education; and several related agencies. Financial Services and General Government Appropriations Act, 2016 Department of the Treasury Appropriations Act, 2016 Provides appropriations to the Department of the Treasury, including the Internal Revenue Service. Executive
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Sponsored by: Sen. Lisa Murkowski
Read The Second Time. Placed On Senate Legislative Calendar Under General Orders. Calendar No. 251. on 10/06/2015
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Business Supply Chain Transparency on Trafficking and Slavery Act of 2015 [S.1968]
[Human Rights ]
[Consumer Protection ]
[Labor, Jobs, Employment ]
[Trade ]
[Law Enforcement ]
[Small Business ]
Business Supply Chain Transparency on Trafficking and Slavery Act of 2015 This bill expresses the sense of Congress that: (1) legislation is necessary to provide consumers information on products that are free of child labor, forced labor, slavery, and human trafficking; and (2) businesses and consumers, by means of publicly available disclosures, can avoid inadvertently promoting or sanctioning these crimes through production and purchase of raw materials, goods, and finished products that have been tainted in the supply chains. The bill amends
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Sponsored by: Sen. Edward J. Markey
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 08/05/2015
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A bill to establish a statute of limitations for certain actions of the Securities and Exchange Commission, and for other purposes. [S.1960]
[Finance ]
[Consumer Protection ]
A bill to establish a statute of limitations for certain actions of the Securities and Exchange Commission, and for other purposes. Amends the Securities Exchange Act of 1934 to establish a 10-year statute of limitations governing an action or proceeding by the Securities and Exchange Commission for a civil monetary penalty. Tolls this statute of limitations any time an alleged violator is either absent from the United States or has no reasonably ascertainable place of abode or work within it.
Sponsored by: Sen. Jack Reed
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. (sponsor Introductory Remarks On Measure: Cr S6386) on 08/05/2015