SECURITIES EXCHANGE ACT

Amendments

SEC: protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), H6866 [29OC]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), consideration (H. Res. 391), H6848 [29OC]

Bills and resolutions

Business and industry: provide for an optional pilot program allowing certain emerging growth companies to increase the tick sizes of their stocks (see H.R. 3448), H6997 [12NO]

Crime: increase penalties for violations of securities protections that involve targeting senior citizens (see S. 1185), S4673 [19JN]

Government regulations: clarify provisions relative to regulation of municipal advisors (see H.R. 797), H596 [15FE]

Investments: repeal certain indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities (see H.R. 742), H593 [15FE]

Political campaigns: require shareholder authorization before a public company may make certain political expenditures (see S. 824), S3028 [25AP] (see H.R. 1734), H2349 [25AP]

SEC: allow publicly traded companies with a certain sized public float to change their stocks’ tick sizes to increase liquidity by incentivizing capital commitment, research coverage, and brokerage support (see H.R. 1952), H2574 [13MY]

——— prohibit from issuing rules requiring the disclosure of an issuer’s expenditures for political activities (see H.R. 1626), H2157 [18AP]

——— prohibit mandatory pre-dispute arbitration agreements (see H.R. 2998), H5396 [2AU]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (see H.R. 2374), H3652 [14JN]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), consideration (see H. Res. 391), H6827 [28OC]

——— provide for a notice-filing registration procedure for brokers participating in the transfer of ownership of smaller companies and provide appropriate regulation of such transfers (see H.R. 2274), H3250 [6JN]

——— require disclosure of the total number of a company’s domestic and foreign employees (see H.R. 790), H595 [15FE]

Securities: make shareholder registration threshold for savings and loan holding companies the same as for bank holding companies (see S. 872), S3158 [7MY] (see H.R. 801), H596 [15FE]

——— provide end user exemptions for certain derivative sales (see S. 888), S3159 [7MY] (see H.R. 634), H499 [13FE]

Wall Street Reform and Consumer Protection Act: provide exemptions from municipal advisor registration requirements (see S. 710), S2589 [11AP]

Letters

Financial deregulation legislation: Barbara Roper, Consumer Federation of America, H7483 [4DE]

——— Mary Jo White, SEC, H7484 [4DE]

——— William Samuel, AFL–CIO, H7482 [4DE]

Retail Investor Protection Act: Brian H. Graff, National Association of Plan-Advisors, H6859 [29OC]

——— Charles Symington, Independent Insurance Agents & Brokers of America, Inc., H6860 [29OC]

——— David J. Stertzer, Association for Advanced Life Underwriting, H6859 [29OC]

——— R. Bruce Josten, U.S. Chamber of Commerce, H6858 [29OC]

——— several Senators, H6860 [29OC]

Lists

Groups opposed to H.R. 2374, Retail Investor Protection Act, H6865 [29OC]

Motions

SEC: protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), H6870 [29OC]

Remarks in House

Dept. of Labor: allow regulations to prevent fraud related to pensions and other retirement savings accounts, promote investment education and advice, and require financial service providers to disclose any fees, H6870 [29OC]

——— issue fiduciary duty rule to protect access to investment education and advice and assure reasonable financial compensation to financial service providers, H6866H6869 [29OC]

Investments: repeal certain indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities (H.R. 742), H3304H3307 [12JN]

SEC: communications with Dept. of Labor relative to monitoring standards of conduct for brokers and investment advisers, H6861 [29OC]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), H6758 [23OC], H6855H6872 [29OC], E1602 [30OC]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), consideration (H. Res. 391), H6841H6850 [29OC]

——— protect retail customers from differing standards of conduct for brokers and investment advisers and confusion from rule changes (H.R. 2374), motion to recommit, H6870 [29OC]

Securities: provide end user exemptions for certain derivative sales (H.R. 634), H3301H3304 [12JN]

Remarks in Senate

Securities: provide end user exemptions for certain derivative sales (S. 888), S3213 [7MY], S3215 [8MY]

Reports filed

Business Risk Mitigation and Price Stabilization Act: Committee on Agriculture (House) (H.R. 634) (H. Rept. 113–105), H3355 [12JN]

——— Committee on Financial Services (House) (H.R. 634) (H. Rept. 113–105), H3355 [12JN]

Consideration of H.R. 2374, Retail Investor Protection Act: Committee on Rules (House) (H. Res. 391) (H. Rept. 113–253), H6827 [28OC]

Retail Investor Protection Act: Committee on Financial Services (House) (H.R. 2374) (H. Rept. 113–228), H5832 [25SE], H6051 [30SE]

Swap Data Repository and Clearinghouse Indemnification Correction Act: Committee on Agriculture (House) (H.R. 742) (H. Rept. 113–106), H3355 [12JN]

——— Committee on Financial Services (House) (H.R. 742) (H. Rept. 113–106), H3355 [12JN]

Statements

Retail Investor Protection Act: Executive Office of the President, H6860, H6865 [29OC]

Texts of

H. Res. 391, consideration of H.R. 992, Swaps Regulatory Improvement Act, H.R.2374, Retail Investor Protection Act, and H.J. Res. 99, disapprove President’s exercise of authority to suspend the debt ceiling, H6841 [29OC]

H.R. 634, Business Risk Mitigation and Price Stabilization Act, H3301 [12JN]

H.R. 742, Swap Data Repository and Clearinghouse Indemnification Correction Act, H3304 [12JN]

H.R. 2374, Retail Investor Protection Act, H6855 [29OC]