Securities And Exchange Commission (sec)
US Congress 113th Congress
Small Cap Liquidity Reform Act of 2014 [HB-3448]
[Finance ]
[Technology and Innovation ]
[Small Business ]
[Investments ]
[Economic Development ]
Small Cap Liquidity Reform Act of 2014 - Amends the Securities Exchange Act of 1934 to establish a pilot liquidity program for equity securities of emerging growth companies (EGCs) with total annual gross revenues of less than $750 million, under which those securities shall be quoted using either: (1) a minimum increment of $0.05 or $0.10, or (2) the increment at which the securities would be quoted without regard to such minimum increments. Repeals the requirement for an SEC study examining the transition to trading and quoting securities in
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Holding Individuals Accountable and Deterring Money Laundering Act [HB-3317]
[Finance ]
[Crime ]
[International ]
[National Security ]
Holding Individuals Accountable and Deterring Money Laundering Act - Amends provisions of federal law known as the Bank Secrecy Act of 1970 relating to money laundering violations to: (1) increase civil penalties for willful violations of anti-money laundering laws; (2) increase the civil penalty for negligent violations of such laws and impose a penalty on partners, directors, officers, or employees of a financial institution for such violations; and (3) impose a 20-year maximum prison term for individuals who facilitate evasion of an anti-money
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Next Steps for Credit Availability Act [HB-31]
[Finance ]
[Small Business ]
[Investments ]
Next Steps for Credit Availability Act - Amends the Investment Company Act of 1940 to allow a business development company (BDC) to own or acquire securities or other interests in the business of a registered investment adviser or adviser to an investment company. Reduces from 200% to 150% the asset coverage requirements applicable to BDCs. Allows a BDC to issue stock. Directs the Securities and Exchange Commission (SEC) to revise various rules under the Securities Act of 1933 and to revise forms as necessary to allow a BDC to use security offering
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College Savings Enhancement Act of 2013 [HB-3029]
[Education ]
[Student Loans ]
[Investments ]
College Savings Enhancement Act of 2013 - Directs the Securities and Exchange Commission (SEC) to revise specified regulations so as to include: (1) qualified prepaid tuition programs under the definition of a qualified institutional buyer (with respect to private resales of securities to institutions), and (2) as accredited investors any qualified prepaid tuition programs whose total assets exceed $5 million (with respect to Regulation D, governing the limited offer and sale of securities without registration under the Securities Act of 1933).
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Markets and Trading Reorganization Act [HB-3012]
[Finance ]
[Technology and Innovation ]
[Trade ]
[Budget and Spending ]
[Cybersecurity ]
[Artificial Intelligence ]
[Economic Development ]
Markets and Trading Reorganization Act - Establishes the Securities and Derivatives Commission as an independent regulatory body. Directs the Commission to establish the following principal divisions: (1) a Markets and Trading Division with oversight of market conduct and utilities, the conduct of market professionals, and self-regulatory organizations with regard to such market professionals (including related examination functions); (2) an Issuers and Financial Disclosures Division exercising oversight of the issuance of securities (including
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Nothing Off Balance Sheet Act of 2013 [HB-3011]
[Finance ]
[Consumer Protection ]
Nothing Off Balance Sheet Act of 2013 - Directs the Securities and Exchange Commission (SEC), 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 that person's balance sheet.
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Keep Repos to Maturity on Balance Sheet Act of 2013 [HB-3010]
[Finance ]
[Investments ]
Keep Repos to Maturity on Balance Sheet Act of 2013 - Directs the Securities and Exchange Commission (SEC), 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. Defines "repurchase-to-maturity transaction" as one in which: (1) a financial asset is transferred in exchange for cash, other financial assets, or letters of credit; and (2) concurrently the transferor and the transferee
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Financial Services and General Government Appropriations Act, 2014 [HB-2786]
[Finance ]
[Taxes ]
[Budget and Spending ]
[Consumer Protection ]
[Cybersecurity ]
[Data Privacy ]
[Elections ]
[Ethics ]
[Funding ]
[Grants ]
[Law Enforcement ]
[National Security ]
[Healthcare ]
[Telecommunications ]
[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) the Office of Terrorism and Financial Intelligence, (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 Bureau
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Fostering Innovation Act of 2013 [HB-2629]
[Finance ]
[Technology and Innovation ]
[Small Business ]
[Investments ]
Fostering Innovation Act of 2013 - Directs the Securities and Exchange Commission (SEC) to redefine "accelerated filer" with respect to issuers of securities required to meet accelerated deadlines for filing their Form 10-Q quarterly reports. Requires the SEC to include among accelerated filers any issuers of securities that have: (1) annual revenues in excess of $100 million, and (2) an aggregated worldwide market value between $250 million and $700 million of the voting and non-voting common equity held by non-affiliates.
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Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2014 [HB-2410]
[Agriculture ]
[Food ]
[Budget and Spending ]
[Small Business ]
[Healthcare ]
[Energy ]
[Technology and Innovation ]
[Telecommunications ]
[International ]
[Science ]
Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2014 - Title I: Agricultural Programs - Appropriates FY2014 funds for the following Department of Agriculture (USDA) programs and services: (1) Office of the Secretary of Agriculture (Secretary); (2) Office of the Chief Economist; (3) National Appeals Division; (4) Office of Budget and Program Analysis; (5) Office of the Chief Information Officer; (6) Office of the Chief Financial Officer; (7) Office of the Assistant Secretary for Civil Rights;
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Retail Investor Protection Act [HB-2374]
[Finance ]
[Consumer Protection ]
[Investments ]
Retail Investor Protection Act - 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 is 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. (Sec. 3) Amends the Securities Exchange Act of 1934 to prohibit the SEC from promulgating a rule establishing an investment advisor standard of conduct
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Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2014 [HB-2274]
[Finance ]
[Small Business ]
[Law Enforcement ]
[Economic Development ]
Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2014 - Amends the Securities Exchange Act of 1934 to exempt from its registration requirements certain merger and acquisition (M&A) brokers and associated persons. Denies such registration exemption, however, to brokers who: (1) receive, hold, transmit, or have custody of any funds or securities to be exchanged by parties to a transfer of ownership of an eligible privately held company; or (2) engage on behalf of an issuer in a public offering of securities that are
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Small Business Credit Availability Act [HB-1800]
[Finance ]
[Small Business ]
[Investments ]
Small Business Credit Availability Act - Amends the Investment Company Act of 1940 to allow a business development company (BDC) to own or acquire securities or other interests in the business of a registered investment adviser or adviser to an investment company. Reduces from 200% to 150% the asset coverage requirements applicable to BDCs. Allows a BDC to issue stock. Directs the Securities and Exchange Commission (SEC) to revise various rules under the Securities Act of 1933 and to revise forms as necessary to allow a BDC to use security offering
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North Korea Sanctions Enforcement Act of 2014 [HB-1771]
[International ]
[Human Rights ]
[National Security ]
[Trade ]
[Finance ]
[Law Enforcement ]
[Defense ]
[Crime ]
North Korea Sanctions Enforcement Act of 2014 - Title I: Investigations, Prohibited Conduct, and Penalties - (Sec. 102) Directs the President, upon receipt of credible information about sanctionable activities involving the government of North Korea, to investigate the possible designation for sanctions of any person knowingly engaged in certain transactions with that government (including an individual, a corporation, business association, partnership, society, trust, financial institution, insurer, underwriter, guarantor, and any other business
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CLEAR Relief Act of 2013 [HB-1750]
[Finance ]
[Real Estate ]
[Small Business ]
[Consumer Protection ]
[Housing ]
[Investments ]
Community Lending Enhancement and Regulatory Relief Act of 2013 or CLEAR Relief Act of 2013 - Directs the Board of Governors of the Federal Reserve System (Board) to publish in the Federal Register proposed revisions to the Small Bank Holding Company Policy Statement on the Assessment of Financial and Managerial Factors that: (1) apply the policy to bank holding companies having pro forma consolidated assets of less than $5 billion (adjusted annually), no engagement in nonbanking activities involving significant leverage, and no significant amount
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Shareholder Protection Act of 2013 [HB-1734]
[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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Stop Tax Haven Abuse Act [HB-1554]
[Finance ]
[Taxes ]
[Law Enforcement ]
[Cybersecurity ]
[Investments ]
[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 prime money laundering concern or that significantly impede U.S. tax enforcement. Amends the Internal Revenue Code to: (1) 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, (2) treat certain foreign corporations managed and controlled
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Financial Crisis Criminal Investigation Act [HB-131]
[Finance ]
[Crime ]
[Budget and Spending ]
[Criminal Justice ]
Financial Crisis Criminal Investigation Act - Authorizes appropriations for FY2013-FY2016 for the Director of the Federal Bureau of Investigation (FBI) to hire 1,000 FBI agents as well as additional forensic experts to investigate corporate, securities, and mortgage fraud, and associated violations of law relating to the U.S. financial markets. Authorizes the hiring also of additional employees by the Attorney General and by the Chair of the Securities and Exchange Commission (SEC) Division of Enforcement to conduct related investigations and prosecutions.
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Swap Jurisdiction Certainty Act [HB-1256]
[Finance ]
[Trade ]
[Law Enforcement ]
[Cybersecurity ]
Swap Jurisdiction Certainty Act - Directs the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) to issue jointly rules governing the application of swaps requirements of the Securities Exchange Act of 1934 and the Commodity Exchange Act, relating to cross-border swaps and security-based swaps transactions involving U.S. persons or non-U.S. persons. Requires such rules to be identical (except to the extent necessary to accommodate differences in other underlying statutory requirements), and to address: (1)
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Corporate Propaganda Sunshine Act [HB-1112]
[Finance ]
[Consumer Protection ]
[Media and Advertising ]
[Law Enforcement ]
Corporate Propaganda Sunshine Act - Directs the Securities and Exchange Commission (SEC) to revise certain regulations to require issuers to include in specified periodic reports any expenditures totaling $1,000 or more that were made for the purpose of influencing public opinion on any matter other than the promotion of the issuer's products or services. Requires such disclosures to include the date, amount, and purpose of the expenditure and to identify (by name, address, and phone number) the person to whom it was made.