Securities And Exchange Commission (sec)
US Congress 113th Congress
HALOS Act [HB-4915]
[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: Rep. Jared Polis
Referred To The House Committee On Financial Services. on 06/19/2014
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Business Supply Chain Transparency on Trafficking and Slavery Act of 2014 [HB-4842]
[Human Rights ]
[Labor, Jobs, Employment ]
[Consumer Protection ]
[Trade ]
[Small Business ]
[Law Enforcement ]
Business Supply Chain Transparency on Trafficking and Slavery Act of 2014 - 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 goods and products that have been tainted in the supply chains. Amends the Securities Exchange Act of 1934 to direct
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Sponsored by: Rep. Zoe Lofgren
Referred To The Subcommittee On Workforce Protections. on 11/17/2014
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Relief for America's Main Street Lenders Act [HB-4788]
[Finance ]
[Small Business ]
[Consumer Protection ]
Relief for America's Main Street Lenders Act - Amends the Commodity Exchange Act, the Securities Exchange Act of 1934, the Electronic Fund Transfer Act, and the Dodd-Frank Wall Street Reform and Consumer Protection Act to exclude from the definition of financial entity, solely with respect to an interest rate swap or interest rate security-based swap, financial institutions whose total assets are $50 billion or less.
Sponsored by: Rep. Sean P. Duffy
Referred To The Subcommittee On General Farm Commodities And Risk Management. on 07/07/2014
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Regional Financial Relief Act of 2014 [HB-4787]
[Finance ]
[Investments ]
[Small Business ]
[Consumer Protection ]
Regional Financial Relief Act of 2014 - Amends the Bank Holding Company Act of 1956 regarding prohibitions on proprietary trading by banking entities and certain relationships with hedge funds and private equity funds. Directs the appropriate federal banking agencies, the Securities and Exchange Commission (SEC), and the Commodity Futures Trading Commission (CFTC) to promulgate, for banking entities with less than $50 billion in trading assets and liabilities, regulations regarding internal controls and recordkeeping whose requirements are less
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Sponsored by: Rep. Sean P. Duffy
Referred To The House Committee On Financial Services. on 05/30/2014
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Small-Cap Access to Capital Act [HB-4697]
[Finance ]
[Small Business ]
[Investments ]
Small-Cap Access to Capital Act - Directs the Securities and Exchange Commission (SEC) to revise its definition of a well-known seasoned issuer to: (1) reduce from $700 million to $250 million the dollar amount of the issuer's worldwide market value of outstanding voting and non-voting common equity held by non-affiliates, and (2) prohibit an emerging growth company from qualifying as a well-known seasoned issuer.
Sponsored by: Rep. Kevin McCarthy
Committee Consideration And Mark-up Session Held. on 06/11/2014
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To direct the Securities and Exchange Commission to revise its rules so as to increase the threshold amount for requiring issuers to provide certain disclosures relating to compensatory benefit plans. [HB-4571]
[Finance ]
[Inflation ]
[Investments ]
Directs the Securities and Exchange Commission (SEC) 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 $20 million (currently $5 million). Directs the SEC to index that aggregate sales price or amount for inflation every 5 years.
Sponsored by: Rep. Jared Polis
Committee Consideration And Mark-up Session Held. on 05/22/2014
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Private Placement Improvement Act of 2014 [HB-4570]
[Finance ]
[Investments ]
[Small Business ]
[Consumer Protection ]
Private Placement Improvement Act of 2014 - Directs the Securities and Exchange Commission (SEC) to revise the filing requirements of Regulation D 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 the date of first sale of such securities, a single notice of sales containing the information required by Form D for each new offering of securities. Prohibits the SEC from: (1)
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Sponsored by: Rep. Patrick T. McHenry
Committee Consideration And Mark-up Session Held. on 05/22/2014
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Disclosure Modernization and Simplification Act of 2014 [HB-4569]
[Finance ]
[Technology and Innovation ]
[Small Business ]
[Consumer Protection ]
[Economic Development ]
Disclosure Modernization and Simplification Act of 2014 - Directs the Securities and Exchange Commission (SEC) to issue regulations permitting issuers to submit a summary page on annual and transition report form 10-K if each item on that page cross-references electronically or otherwise the material contained in form 10-K to which the item relates. Requires the SEC to revise regulation S-K (Standard Instructions for Filing Forms under the Securities Act of 1933, the Securities Exchange Act of 1934 and the Energy Policy and Conservation Act of 1975)
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Sponsored by: Rep. Randy Hultgren
Received In The Senate And Read Twice And Referred To The Committee On Banking, Housing, And Urban Affairs. on 12/03/2014
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Startup Capital Modernization Act of 2014 [HB-4565]
[Finance ]
[Small Business ]
[Technology and Innovation ]
[Investments ]
[Economic Development ]
Startup Capital Modernization Act of 2014 - Amends the Securities Act of 1933 (Act) to increase from $5 million to $10 million the maximum aggregate amount of securities exempt from its purview due to either the small amount involved, or the limited character of the public offering. Preempts state requirements governing securities registration, documentation, and offerings in connection with small issues related to small company capital formation. Declares that this Act shall have no impact on state enforcement authority over the unlawful conduct
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Sponsored by: Rep. Patrick T. McHenry
Committee Consideration And Mark-up Session Held. on 05/22/2014
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Equity Crowdfunding Improvement Act of 2014 [HB-4564]
[Finance ]
[Technology and Innovation ]
[Small Business ]
[Consumer Protection ]
[Economic Development ]
[Investments ]
Equity Crowdfunding Improvement Act of 2014 - Repeals the CROWDFUND Act. Amends the Jumpstart Our Business Startups Act to exempt from the registration requirements and prohibitions of the Securities Act of 1933 any transactions involving the offer or sale of crowdfunded securities by an issuer if specified requirements are met. (Crowdfunding is a method of capital formation where groups of people pool money, typically composed of small individual contributions, and often via internet platforms, to either invest in a company or support an effort
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Sponsored by: Rep. Patrick T. McHenry
Referred To The House Committee On Financial Services. on 05/06/2014
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Restricted Securities Relief Act of 2014 [HB-4554]
[Finance ]
[Investments ]
[Consumer Protection ]
Restricted Securities Relief Act of 2014 - Directs the Securities and Exchange Commission (SEC) to revise specified regulations to: (1) reduce from six to three months the holding period for restricted securities issued by an issuer that is, and has been for at least 90 days immediately before the sale, subject to certain reporting requirements of the Securities Exchange Act of 1934; and (2) permit a securities issuer with no or nominal operations and no or nominal non-cash assets that has ceased to be such an issuer to sell its securities two years
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Sponsored by: Rep. Ann Wagner
Committee Consideration And Mark-up Session Held. on 05/22/2014
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Financial Regulatory Clarity Act of 2014 [HB-4466]
[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 regulation or order, to assess other federal regulations and orders to determine whether the agency's proposal is in conflict with, is
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Sponsored by: Rep. Gregory W. Meeks
Committee Consideration And Mark-up Session Held. on 05/22/2014
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Jumpstarting Opportunities with Bold Solutions Act [HB-4304]
[Labor, Jobs, Employment ]
[Small Business ]
[Energy ]
[Public Lands and National Parks ]
[Environmental ]
[Trade ]
[Budget and Spending ]
[Finance ]
[Taxes ]
[Construction ]
[Mining ]
[National Security ]
[Native American Affairs ]
[Economic Development ]
[Law Enforcement ]
[Technology and Innovation ]
[Transportation and Motor Vehicles ]
[Air Quality ]
[Water ]
[Climate Change ]
[Public Health ]
[Cybersecurity ]
[Artificial Intelligence ]
[Insurance ]
[Real Estate ]
[Housing ]
[Consumer Protection ]
[Veterans ]
[Military ]
[Science ]
[Funding ]
[Grants ]
[International ]
[Manufacturing ]
[Workers' Compensation ]
[Property Tax ]
[Public Safety ]
[Recreation ]
[Retirement ]
[Unemployment ]
[Pensions ]
Jumpstarting Opportunities with Bold Solutions Act - Division I: Labor - Title I: Repeal of Davis-Bacon Act - Repeals the Davis-Bacon Act (which requires that the locally prevailing wage rate be paid to various classes of laborers and mechanics working under federally-financed or federally-assisted contracts for construction, alteration, and repair of public buildings or public works). States that references in any law to a wage requirement of the Davis-Bacon Act after the enactment of this Act shall be null and void. Title II: Union Contract
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Sponsored by: Rep. Ted Poe
Referred To The Subcommittee On Health, Employment, Labor, And Pensions. on 06/13/2014
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Small Company Disclosure Simplification Act [HB-4164]
[Finance ]
[Small Business ]
[Technology and Innovation ]
[Budget and Spending ]
[Economic Development ]
Small Company Disclosure Simplification Act - Exempts emerging growth companies and issuers with total annual gross revenues of less than $250 million from the requirements to use Extensible Business Reporting Language (XBRL) for financial statements and other mandatory periodic reporting filed with the Securities and Exchange Commission (SEC). Allows such companies, however, to elect to use XBRL for such reporting. Directs the SEC to: (1) analyze the costs and benefits to such issuers of the requirements to use XBRL for financial statements and
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Sponsored by: Rep. Terri A. Sewell
Committee Consideration And Mark-up Session Held. on 03/14/2014
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Jobs for America Act [HB-4]
[Labor, Jobs, Employment ]
[Finance ]
[Taxes ]
[Small Business ]
[Healthcare ]
[Budget and Spending ]
[Technology and Innovation ]
[Economic Development ]
[Energy ]
[Mining ]
[Public Lands and National Parks ]
[Environmental ]
[Water ]
[Agriculture ]
[Veterans ]
[National Security ]
[Law Enforcement ]
[Construction ]
[Infrastructure ]
[Trade ]
[Science ]
[Manufacturing ]
[Community Development ]
[Funding ]
[Grants ]
[Property Tax ]
[Public Safety ]
[Education ]
Jobs for America Act - Division I: Ways and Means - Title I: Save American Workers - Save American Workers Act of 2014 - (Sec. 102) Amends the Internal Revenue Code to redefine "full-time employee," for purposes of the mandate requiring employers to provide health care coverage for their employees, as an employee who is employed on average at least 40 hours of service a week (currently, at least 30 hours of service a week). Title II: Hire More Heroes - Hire More Heroes Act of 2014 - (Sec. 202) Amends the Internal Revenue Code to permit an employer,
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Sponsored by: Rep. Darrell E. Issa
Read The Second Time. Placed On Senate Legislative Calendar Under General Orders. Calendar No. 597. on 11/13/2014
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To amend the Bank Holding Company Act of 1956 to require agencies to make considerations relating to the promotion of efficiency, competition, and capital formation before issuing or modifying certain regulations. [HB-3913]
[Finance ]
[Consumer Protection ]
Amends the Bank Holding Company Act of 1956 with respect to certain prohibitions against proprietary trading by banking entities and certain relationships of such entities with hedge funds and private equity funds (Volcker rule). Directs the Commodity Futures Trading Commission (CFTC), the Securities and Exchange Commission (SEC), and the appropriate federal banking agencies, when issuing or modifying any regulation related to such prohibitions, to consider: (1) whether it is necessary or appropriate in the public interest; (2) whether it will promote
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Sponsored by: Rep. Sean P. Duffy
Committee Consideration And Mark-up Session Held. on 07/30/2014
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U.S. Financial Services Global Viability Act [HB-3701]
[Finance ]
[International ]
[Trade ]
U.S. Financial Services Global Viability Act - Amends the Bank Holding Company Act of 1956 to delay the effective date for prohibitions or the mandate for related rulemaking against proprietary trading by a banking entity and any equity, partnership, or other ownership interest of a banking entity in or sponsorship of hedge funds or private equity funds. (Currently the effective date of such prohibitions and the mandate to make related regulations is the earlier of 12 months after the date of the issuance of final rules or 2 years after the date
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Sponsored by: Rep. Peter T. King
Referred To The House Committee On Financial Services. on 12/11/2013
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Sequester Delay and Stop Tax Haven Abuse Act [HB-3666]
[Finance ]
[Taxes ]
[Budget and Spending ]
[International ]
[Law Enforcement ]
[Trade ]
[Crime ]
Sequester Delay and Stop Tax Haven Abuse Act - Title I: Extension of Sequestration - Amends the Balanced Budget and Emergency Deficit Control Act of 1985 to: (1) repeal the across-the-board reductions in discretionary spending mandated by such Act in FY2014 and FY2015, and (2) increase the budget authority in FY2016 for the security and nonsecurity budget categories. Title II: Deterring the Use of Tax Havens for Tax Evasion - Authorizes the Secretary of the Treasury to impose restrictions on foreign jurisdictions or financial institutions operating
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Sponsored by: Rep. Barbara Lee
Referred To The Committee On Ways And Means, And In Addition To The Committees On Financial Services, And The Budget, For A Period To Be Subsequently Determined By The Speaker, In Each Case For Consideration Of Such Provisions As Fall Within The Jurisdiction Of The Committee Concerned. on 12/05/2013
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Consolidated Appropriations Act, 2014 [HB-3547]
[Agriculture ]
[Defense ]
[Environmental ]
[Finance ]
[Food ]
[International ]
[National Security ]
[Public Health ]
[Science ]
[Technology and Innovation ]
[Trade ]
[Water ]
[Energy ]
[Budget and Spending ]
[Law Enforcement ]
[Military ]
[Disaster Relief ]
[Economic Development ]
[Funding ]
[Grants ]
[Public Safety ]
[Construction ]
[Transportation and Motor Vehicles ]
[Air Quality ]
[Waste Management / Recycling ]
[Healthcare ]
[Cybersecurity ]
[Climate Change ]
[Human Rights ]
[Human Services ]
[Taxes ]
[Small Business ]
[Consumer Protection ]
[Animals ]
[Arts and Culture ]
[Aerospace ]
[Race and Civil Rights ]
[Community Development ]
[Senior Citizens ]
[Education ]
[Veterans ]
[Artificial Intelligence ]
[Manufacturing ]
[Mental Health ]
[Tourism ]
[Workers' Compensation ]
[Children and Youth ]
[Criminal Justice ]
[Data Privacy ]
[Disabilities ]
[Elections ]
[Ethics ]
[Film Production ]
[Inflation ]
[Investments ]
[Libraries ]
[Mining ]
[Unemployment ]
[Native American Affairs ]
[Nonprofit ]
[Overdose Prevention ]
[Pensions ]
[Pharmaceuticals ]
[Poverty ]
[Property Tax ]
[Recreation ]
[Religion ]
[Retirement ]
[Crime ]
Consolidated Appropriations Act, 2014 - (Sec. 5) Makes appropriations for FY2014. (Sec. 6) Declares that each amount designated in this Act for Overseas Contingency Operations/Global War on Terrorism pursuant to the Balanced Budget and Emergency Deficit Control Act of 1985 (Gramm-Rudman-Hollings Act) shall be available (or rescinded, if applicable) only if the President subsequently so designates all such amounts and transmits the designations to Congress. (Sec. 7) Declares that if, for FY2014, new budget authority provided in appropriation Acts
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Sponsored by: Rep. Eddie Bernice Johnson
Became Public Law No: 113-76. on 01/17/2014
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Restoring Main Street Investor Protection and Confidence Act [HB-3482]
[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: Rep. Ted Poe
Hearings Held By The Subcommittee On Capital Markets And Government Sponsored Enterprises Prior To Referral. on 11/21/2013