Securities And Exchange Commission (sec)
US Congress 114th Congress
Financial Services and General Government Appropriations Act, 2016 [S.1910]
[Finance ]
[Taxes ]
[Budget and Spending ]
[Small Business ]
[Insurance ]
[Consumer Protection ]
[Data Privacy ]
[Economic Development ]
Financial Services and General Government Appropriations Act, 2016 Provides FY2016 appropriations for financial services and general government, including programs in 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, 2016 TITLE I--DEPARTMENT OF THE TREASURY Provides appropriations to the Department of the Treasury for Departmental Offices, including: Salaries and Expenses, Department-Wide Systems
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Sponsored by: Sen. John Boozman
Committee On Appropriations. Original Measure Reported To Senate By Senator Boozman. With Written Report No. 114-97. on 07/30/2015
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Community Bank Access to Capital Act of 2015 [S.1816]
[Finance ]
[Small Business ]
[Investments ]
Community Bank Access to Capital Act of 2015 This bill directs the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (FDIC): (1) to each promulgate a regulation exempting community banks from regulations implementing "Basel III: A global regulatory framework for more resilient banks and banking systems," and (2) to revise capital requirements as they determine appropriate in light of such required regulations. A community bank is defined as one whose consolidated assets
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Sponsored by: Sen. Mike Rounds
Committee On Banking, Housing, And Urban Affairs. Hearings Held. on 06/23/2016
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Financial Services Conflict of Interest Act [S.1779]
[Finance ]
[Ethics ]
[Law Enforcement ]
[Pensions ]
[Labor, Jobs, Employment ]
[Crime ]
Financial Services Conflict of Interest Act This bill amends the federal criminal code to declare that any pension, retirement, group life, health or accident insurance, profit-sharing, stock bonus, or other employee welfare or benefit plan maintained by a federal employee's former private sector employer that makes payment of compensation contingent on accepting a position in the federal government shall not be considered exempt from certain conflict-of-interest restrictions. The Ethics in Government Act of 1978 is amended with respect to a financial
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Sponsored by: Sen. Bernard Sanders
Read Twice And Referred To The Committee On Homeland Security And Governmental Affairs. on 07/15/2015
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Stop Tax Haven Abuse Act [S.174]
[Finance ]
[Taxes ]
[International ]
[Trade ]
[Budget and Spending ]
[Small Business ]
[Law Enforcement ]
[National Security ]
[Cybersecurity ]
[Economic Development ]
[Crime ]
Stop Tax Haven Abuse 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 significantly impede U.S. tax enforcement. Amends the Internal Revenue Code to: expand reporting requirements for U.S. persons who hold an interest in a passive foreign investment company; establish a rebuttable presumption against the validity of transactions by institutions that do not comply with reporting requirements under
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Sponsored by: Sen. Edward J. Markey
Read Twice And Referred To The Committee On Finance. on 01/13/2015
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Independent Agency Regulatory Analysis Act of 2015 [S.1607]
[Budget and Spending ]
[Consumer Protection ]
[Economic Development ]
Independent Agency Regulatory Analysis Act of 2015 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) publish and provide the Office of Information and Regulatory Affairs with an assessment of the costs and benefits of a proposed or final economically 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
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Sponsored by: Sen. Susan M. Collins
Committee On Homeland Security And Governmental Affairs. Reported By Senator Johnson With An Amendment In The Nature Of A Substitute. Without Written Report. on 12/09/2016
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Terminating the Expansion of Too-Big-To-Fail Act of 2015 [S.107]
[Finance ]
[Budget and Spending ]
[Consumer Protection ]
Terminating the Expansion of Too-Big-To-Fail Act of 2015 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 Council
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Sponsored by: Sen. David Vitter
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 01/07/2015
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Financial CHOICE Act of 2016 [HB-5983]
[Finance ]
[Consumer Protection ]
[Insurance ]
[Investments ]
Financial CHOICE Act of 2016 This bill amends the Dodd-Frank Wall Street Reform and Consumer Protection Act, among other Acts, to: repeal the "Volcker Rule" (which restricts banks from making certain speculative investments); with respect to winding down failing banks, eliminate the Federal Deposit Insurance Corporation's orderly liquidation authority and establish new provisions regarding financial institution bankruptcy; and repeal the "Durbin Amendment" (which limits the fees that may be charged to retailers for debit card processing). Certain
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Sponsored by: Rep. Jeb Hensarling
Placed On The Union Calendar, Calendar No. 693. on 12/20/2016
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To amend the Securities Exchange Act of 1934 to require fines collected for violations of the rules of the Municipal Rulemaking Board to be deposited into the Treasury and to amend the Sarbanes-Oxley Act of 2002 to remove a requirement on the use of certain funds. [HB-5553]
[Finance ]
[Budget and Spending ]
[Education ]
To amend the Securities Exchange Act of 1934 to require fines collected for violations of the rules of the Municipal Rulemaking Board to be deposited into the Treasury and to amend the Sarbanes-Oxley Act of 2002 to remove a requirement on the use of certain funds. This bill amends the Securities Exchange Act of 1934 to declare that fines collected for violations of the rules of the Municipal Securities Rulemaking Board shall be deposited and credited as general revenue of the Treasury. Currently such fines must be be equally divided between the
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Sponsored by: Rep. Ann Wagner
Introduced In House on 06/21/2016
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We the People Act of 2016 [HB-5494]
[Elections ]
[Ethics ]
[Finance ]
[Law Enforcement ]
[Voting Rights ]
[Crime ]
We the People Act of 2016 Democracy Is Supported 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; prescribe disclosure requirements for campaign-related disbursements by corporations, labor organizations,
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Sponsored by: Rep. David E. Price
Introduced In House on 06/16/2016
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Financial Services and General Government Appropriations Act, 2017 [HB-5485]
[Finance ]
[Taxes ]
[Budget and Spending ]
[Small Business ]
[Consumer Protection ]
[Education ]
[Cybersecurity ]
[Data Privacy ]
[Elections ]
[Funding ]
[Grants ]
[Law Enforcement ]
[National Security ]
[Technology and Innovation ]
[Telecommunications ]
[Reproductive Rights / Abortion ]
[Veterans ]
[Immigration ]
[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 Office of Terrorism
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Sponsored by: Rep. Ander Crenshaw
Received In The Senate. Read Twice. Placed On Senate Legislative Calendar Under General Orders. Calendar No. 557. on 07/12/2016
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SEC Regulatory Accountability Act [HB-5429]
[Finance ]
[Small Business ]
[Consumer Protection ]
[Economic Development ]
SEC Regulatory Accountability Act This bill amends the Securities Exchange Act of 1934 to direct the Securities and Exchange Commission (SEC), before issuing a regulation under the securities laws, to: 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; 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; identify and assess
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Sponsored by: Rep. Scott Garrett
Reported By The Committee On Financial Services. H. Rept. 114-799. on 09/28/2016
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Investment Advisers Modernization Act of 2016 [HB-5424]
[Finance ]
[Investments ]
[Small Business ]
[Consumer Protection ]
Investment Advisers Modernization Act of 2016 This bill directs the Securities and Exchange Commission (SEC) to amend specified regulations for investment advisers as they apply to private equity firms and private investment funds. (Sec. 2) The bill revises the disclaimer that, in the case of an investment adviser that is a partnership, an assignment shall not be deemed to result from the death, withdrawal, sale or transfer of minority interests to apply the disclaimer also to minority members, shareholders, for other equity owners of the investment
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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 09/12/2016
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National Securities Exchange Regulatory Parity Act of 2016 [HB-5421]
[Finance ]
[Technology and Innovation ]
[Consumer Protection ]
National Securities Exchange Regulatory Parity Act of 2016 (Sec. 2) This bill amends the Securities Act of 1933, regarding the exemption of certain securities from state regulation, to replace limitations based upon listing on specific stock exchanges with a general exemption from state regulation of any securities listed on a national exchange whose listing standards are approved by the Securities and Exchange Commission (SEC), consistent with SEC rules that establish minimum core quantitative listing standards.
Sponsored by: Rep. Edward R. Royce
Received In The Senate And Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 07/13/2016
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Corporate Governance Reform and Transparency Act of 2016 [HB-5311]
[Finance ]
[Technology and Innovation ]
[Consumer Protection ]
[Cybersecurity ]
[Data Privacy ]
[Economic Development ]
Corporate Governance Reform and Transparency Act of 2016 This bill amends the Securities Exchange Act of 1934 to require the registration of proxy advisory firms and make it unlawful for an unregistered proxy advisory firm to make use of the mails or any means or instrumentality of interstate commerce to provide proxy voting research, analysis, or recommendations to any client. "Proxy advisory firm" means any person registered under this bill who is engaged in the business of providing proxy voting research, analysis, or recommendations to clients,
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Sponsored by: Rep. Sean P. Duffy
Reported (amended) By The Committee On Financial Services. H. Rept. 114-798. on 09/28/2016
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Cybersecurity Systems and Risks Reporting Act [HB-5069]
[Cybersecurity ]
[Technology and Innovation ]
[Finance ]
[Data Privacy ]
Cybersecurity Systems and Risks Reporting Act This bill amends the Sarbanes-Oxley Act of 2002 to apply to cybersecurity systems and cybersecurity systems officers the same requirements regarding corporate responsibility for financial reports and managements assessments of internal control structures and procedures for financial reporting as apply to public companies subject to oversight by the Securities and Exchange Commission (SEC). The SEC shall issue rules to define cybersecurity expert and require each issuer of securities to disclose whether
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Sponsored by: Rep. Jim McDermott
Introduced In House on 04/26/2016
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Fair Access to Investment Research Act of 2016 [HB-5019]
[Finance ]
[Investments ]
Fair Access to Investment Research Act of 2016 (Sec. 2) 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,
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Sponsored by: Rep. French Hill
Received In The Senate And Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 05/09/2016
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Private Placement Improvement Act of 2016 [HB-4852]
[Finance ]
[Investments ]
[Small Business ]
[Consumer Protection ]
Private Placement Improvement Act of 2016 This bill directs the Securities and Exchange Commission (SEC) to revise the filing requirements of Regulation D (which provides exemptions from securities registration requirements) to require an issuer that offers or sells securities in reliance upon a certain exemption from registration (for limited offers and sales without regard to the dollar amount of the offering [Rule 506]) to file, no earlier than 15 days after the date of first sale of such securities, a single notice of sales containing the information
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Sponsored by: Rep. Patrick T. McHenry
Reported (amended) By The Committee On Financial Services. H. Rept. 114-726. on 09/06/2016
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To update the oil and gas and mining industry guides of the Securities and Exchange Commission. [HB-4792]
[Energy ]
[Mining ]
[Finance ]
[Investments ]
[Law Enforcement ]
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: Rep. Raul M. Grijalva
Introduced In House on 03/17/2016
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Gender Diversity in Corporate Leadership Act of 2016 [HB-4718]
[Labor, Jobs, Employment ]
[Technology and Innovation ]
[Human Rights ]
[Finance ]
Gender Diversity in Corporate Leadership Act of 2016 This bill directs the Securities and Exchange Commission (SEC) to establish a Gender Diversity Advisory Group, composed of government, academic, and private sector representatives, to study strategies to increase gender diversity among the members of the boards of directors of issuers. The Securities Exchange Act of 1934 is amended to direct the SEC, by rule, to require each issuer to disclose, in any proxy or consent solicitation material for an annual shareholders meeting, the gender composition
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Sponsored by: Rep. Don S. Beyer
Introduced In House on 03/07/2016
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Main Street Growth Act [HB-4638]
[Finance ]
[Small Business ]
[Investments ]
[Economic Development ]
Main Street Growth Act (Sec. 2) This bill amends the Securities Exchange Act of 1934 to permit a national securities exchange, for itself or for one of its listing tiers, to elect treatment as a venture exchange by notifying the Securities and Exchange Commission (SEC) of such an election either at the time it applies for registration or after registering as a national securities exchange. Unless the SEC denies the registration application within six months after its receipt, the application and election shall be deemed to have received SEC approval.
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Sponsored by: Rep. Steve Chabot
Reported (amended) By The Committee On Financial Services. H. Rept. 114-609. on 06/08/2016