Securities And Exchange Commission (sec)
US Congress 113th Congress
Shareholder Protection Act of 2013 [S.824]
[Finance ]
[Elections ]
[Ethics ]
[Funding ]
[Law Enforcement ]
Shareholder Protection Act of 2013 - 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
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Sponsored by: Sen. Dianne Feinstein
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 04/25/2013
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Financial Regulatory Responsibility Act of 2013 [S.450]
[Finance ]
[Taxes ]
[Budget and Spending ]
[Consumer Protection ]
[Law Enforcement ]
[Economic Development ]
Financial Regulatory Responsibility Act of 2013 - Prohibits a federal financial regulatory agency from issuing notices of proposed or final rulemakings unless specified analyses have been included in them. Prohibits an agency from publishing a notice of final rulemaking if it determines that the quantified costs are greater than the quantified benefits. Requires an agency to make available on its public website sufficient information about the data, methodologies, and assumptions underlying its analyses so that its analytical results are capable
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Sponsored by: Sen. Richard C. Shelby
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 03/05/2013
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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.2868]
[Finance ]
[Law Enforcement ]
[Consumer Protection ]
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 (SEC) 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
Sponsor Introductory Remarks On Measure. (cr S5788) on 09/18/2014
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Financial Regulatory Clarity Act of 2014 [S.2829]
[Finance ]
[Consumer Protection ]
Financial Regulatory Clarity Act of 2014 - Requires the Federal Deposit Insurance Corporation (FDIC), the Office of Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Bureau of Consumer Financial Protection (CFPB), the National Credit Union Administration (NCUA), the Securities and Exchange Commission (SEC), and the Commodity Futures Trading Commission (CFTC), before issuing a final regulation or order, to assess other federal regulations and orders to determine whether the agency's proposal is in conflict with,
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Sponsored by: Sen. Roger F. Wicker
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 09/16/2014
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CUT Loopholes Act [S.268]
[Finance ]
[Taxes ]
[International ]
[Law Enforcement ]
[Cybersecurity ]
[Energy ]
[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: 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; treat certain foreign corporations managed
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Sponsored by: Sen. Sheldon Whitehouse
Sponsor Introductory Remarks On Measure. (cr S592-594) on 02/11/2013
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HALOS Act [S.2498]
[Finance ]
[Small Business ]
[Technology and Innovation ]
[Investments ]
Helping Angels Lead Our Startups Act or the HALOS Act - Directs the Securities and Exchange Commission (SEC) 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
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Sponsored by: Sen. Angus S. King
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 06/19/2014
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Data Security Act of 2014 [S.1927]
[Cybersecurity ]
[Data Privacy ]
[Technology and Innovation ]
[Consumer Protection ]
[Finance ]
[Law Enforcement ]
[Public Safety ]
Data Security Act of 2014 - Prescribes security procedures which an entity that maintains or communicates sensitive account or personal information must implement and enforce in order to protect the information from an unauthorized use likely to result in substantial harm or inconvenience to the consumer. Grants exclusive enforcement powers to specified federal regulatory agencies with oversight of financial institutions. Denies a private right of action, including a class action, regarding any act or practice regulated under this Act. Prohibits
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Sponsored by: Sen. Thomas R. Carper
Committee On Banking, Housing, And Urban Affairs Subcommittee On National Security And International Trade And Finance. Hearings Held. on 02/03/2014
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Restoring Main Street Investor Protection and Confidence Act [S.1725]
[Finance ]
[Consumer Protection ]
[Law Enforcement ]
[Investments ]
Restoring Main Street Investor Protection and Confidence Act - Amends the Securities Investor Protection Act of 1970 to revise the definition of "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,
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Sponsored by: Sen. Robert P. Casey
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 11/19/2013
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Cybersecurity Public Awareness Act of 2013 [S.1638]
[Cybersecurity ]
[Technology and Innovation ]
[National Security ]
[Public Safety ]
[Science ]
[Defense ]
[Law Enforcement ]
[Artificial Intelligence ]
Cybersecurity Public Awareness Act of 2013 - Directs the Secretary of Homeland Security (DHS) to submit an annual report that: (1) summarizes major cyber incidents involving networks of executive agencies, except for the Department of Defense (DOD); (2) provides aggregate statistics on the number of breaches of networks of executive agencies, the volume of data exfiltrated, and the estimated cost of remedying the breaches; and (3) discusses the risk of cyber sabotage. Requires similar reports by the DOD Secretary to address incidents against DOD
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Sponsored by: Sen. Sheldon Whitehouse
Read Twice And Referred To The Committee On Homeland Security And Governmental Affairs. on 10/31/2013
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Stop Tax Haven Abuse Act [S.1533]
[Finance ]
[Taxes ]
[Trade ]
[International ]
[Cybersecurity ]
[Law Enforcement ]
[National Security ]
[Small Business ]
[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
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Sponsored by: Sen. Edward J. Markey
Sponsor Introductory Remarks On Measure. (cr S6649-6661) on 09/19/2013
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Financial Services and General Government Appropriations Act, 2014 [S.1371]
[Finance ]
[Alcoholic Beverages ]
[Budget and Spending ]
[Small Business ]
[Consumer Protection ]
[Technology and Innovation ]
[Telecommunications ]
[Data Privacy ]
[Elections ]
[Ethics ]
[Funding ]
[Grants ]
[Law Enforcement ]
[National Security ]
[Taxes ]
[Trade ]
[Cybersecurity ]
[Crime ]
Financial Services and General Government Appropriations Act, 2014 - Title I: Department of the Treasury - Department of the Treasury Appropriations Act, 2014 - Makes appropriations for FY2014 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
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Sponsored by: Sen. Tom Udall
Committee On Appropriations Senate Subcommittee On Financial Services And General Government. Hearings Held Prior To Introduction And/or Referral. Hearings Printed: S.hrg. 113-417. on 09/11/2013
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CLEAR Relief Act of 2013 [S.1349]
[Finance ]
[Small Business ]
[Consumer Protection ]
[Investments ]
Community Lending Enhancement and Regulatory Relief Act of 2013 or CLEAR Relief Act of 2013 - 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. Declares the "Small Bank Holding Company Statement"
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Sponsored by: Sen. Chuck Grassley
Committee On Banking, Housing, And Urban Affairs. Hearings Held. on 09/16/2014
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Independent Agency Regulatory Analysis Act of 2013 [S.1173]
[Budget and Spending ]
[Consumer Protection ]
[Economic Development ]
Independent Agency Regulatory Analysis Act of 2013 - 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 Administrator of 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
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Sponsored by: Sen. Susan M. Collins
Read Twice And Referred To The Committee On Homeland Security And Governmental Affairs. on 06/18/2013
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Terminating the Expansion of Too-Big-To-Fail Act of 2013 [S.100]
[Finance ]
[Budget and Spending ]
[Consumer Protection ]
Terminating the Expansion of Too-Big-To-Fail Act of 2013 - 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
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Sponsored by: Sen. David Vitter
Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 01/23/2013
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Consolidated and Further Continuing Appropriations Act, 2013 [HB-933]
[Agriculture ]
[Food ]
[Energy ]
[Defense ]
[International ]
[Trade ]
[Budget and Spending ]
[Technology and Innovation ]
[Telecommunications ]
[Public Lands and National Parks ]
[Water ]
[Disaster Relief ]
[Transportation and Motor Vehicles ]
[Housing ]
[Veterans ]
[Healthcare ]
[Medicare and Medicaid ]
[Public Health ]
[Science ]
[National Security ]
[Cybersecurity ]
[Law Enforcement ]
[Criminal Justice ]
[Military ]
[Environmental ]
[Air Quality ]
[Climate Change ]
[Human Rights ]
[Human Services ]
[Small Business ]
[Consumer Protection ]
[Data Privacy ]
[Economic Development ]
[Education ]
[Elections ]
[Ethics ]
[Funding ]
[Grants ]
[Labor, Jobs, Employment ]
[Poverty ]
[Race and Civil Rights ]
[Reproductive Rights / Abortion ]
[Senior Citizens ]
[Workers' Compensation ]
[Children and Youth ]
[Community Development ]
[Construction ]
[Family-Related Legislation ]
[Finance ]
[Insurance ]
[Manufacturing ]
[Mental Health ]
[Native American Affairs ]
[Nonprofit ]
[Overdose Prevention ]
[Pharmaceuticals ]
[Public Safety ]
[Real Estate ]
[Recreation ]
[Retirement ]
[Social Security ]
[Taxes ]
[Unemployment ]
[Waste Management / Recycling ]
Consolidated and Further Continuing Appropriations Act, 2013 - Division A: Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2013 - Title I: Agricultural Programs - Appropriates FY2013 funds for the following Department of Agriculture (USDA) programs and services: Office of the Secretary of Agriculture (Secretary); Office of the Chief Economist; National Appeals Division; Office of Budget and Program Analysis; Office of the Chief Information Officer; Office of the Chief Financial Officer; Office
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Sponsored by: Rep. Harold Rogers
Became Public Law No: 113-6. on 03/26/2013
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Consolidated and Further Continuing Appropriations Act, 2015 [HB-83]
[Energy ]
[Immigration ]
[Infrastructure ]
[International ]
[Trade ]
[Budget and Spending ]
Requires the Secretary of the Interior to establish within the Empowering Insular Communities activity a team of technical, policy, and financial experts to: (1) develop an energy action plan addressing the energy needs of each of the insular areas (American Samoa, the Northern Mariana Islands, Puerto Rico, Guam, and the Virgin Islands) and Freely Associated States (the Federated States of Micronesia, the Republic of the Marshall Islands, and the Republic of Palau); and (2) assist each of the insular areas and Freely Associated States in implementing
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Sponsored by: Rep. Gregorio Sablan
Became Public Law No: 113-235. on 12/16/2014
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Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013 [HB-742]
[Finance ]
[Technology and Innovation ]
[Data Privacy ]
Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013 - Amends the Commodity Exchange Act, with respect to derivatives clearing organizations and swap data repositories, to repeal the prerequisite that, before the Commodity Futures Trading Commission (CFTC) may share information with specified regulatory agencies, such agencies must agree to indemnify the CFTC for expenses arising from litigation relating to information so provided. Amends the Securities Exchange Act of 1934 to repeal similarly the prerequisite that, before
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Sponsored by: Rep. Sean Patrick Maloney
Received In The Senate And Read Twice And Referred To The Committee On Agriculture, Nutrition, And Forestry. on 06/13/2013
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To amend a provision of the Securities Act of 1933 directing the Securities and Exchange Commission to add a particular class of securities to those exempted under such Act to provide a deadline for such action. [HB-701]
[Finance ]
[Small Business ]
[Consumer Protection ]
[Investments ]
Amends the Securities Act of 1933 to set October 31, 2013, as the deadline for the Securities and Exchange Commission (SEC) to add a class of domestic securities to those already exempted from regulation under that Act in accordance with specified terms and conditions, including that: (1) the aggregate offering amount of all securities offered and sold within the prior 12-month period in reliance on the new exemption shall not exceed $50 million, (2) the securities may be offered and sold publicly, and (3) they shall not be restricted securities
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Sponsored by: Rep. David Scott
Received In The Senate And Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 05/16/2013
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Promoting Job Creation and Reducing Small Business Burdens Act [HB-5405]
[Finance ]
[Small Business ]
[Labor, Jobs, Employment ]
[Economic Development ]
[Investments ]
Promoting Job Creation and Reducing Small Business Burdens Act - Title I: Business Risk Mitigation and Price Stabilization Act - (Sec. 101) Amends the Commodity Exchange Act (CEA) to exempt, from the rules of prudential regulators for swap dealers and major swap participants with respect to initial and variation margin requirements for swaps not cleared by a registered derivatives clearing organization, those swaps in which one of the counterparties: (1) is eligible for an exception from clearing requirements because it is not a financial entity,
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Sponsored by: Rep. Ann Wagner
Received In The Senate And Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 09/17/2014
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Financial Services and General Government Appropriations Act, 2015 [HB-5016]
[Finance ]
[Budget and Spending ]
[Taxes ]
[Telecommunications ]
[Healthcare ]
[Labor, Jobs, Employment ]
[Consumer Protection ]
[Waste Management / Recycling ]
[Data Privacy ]
[Law Enforcement ]
[National Security ]
[Public Safety ]
[Technology and Innovation ]
[Small Business ]
[Insurance ]
[Cannabis ]
[Firearms/Gun Control ]
[Crime ]
- Sets forth permissions for and restrictions upon the use of funds under this Act. (Sec. 606) Prohibits the expenditure of funds under this Act by an entity unless it agrees to comply with the Buy American Act. (Sec. 607) Prohibits the use of funds under this Act by any person or entity that has been convicted of violating the Buy American Act. (Sec. 610) Prohibits the Executive Office of the President from using funds provided in this Act to request either a Federal Bureau of Investigation (FBI) background investigation or an IRS determination
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Sponsored by: Rep. Ander Crenshaw
Received In The Senate And Read Twice And Referred To The Committee On Appropriations. on 07/17/2014