Securities -- United States
Label
Securities -- United States
Name
Securities
Focus
Sub focus
Actions
Incoming Resources
- The future of digital assets, providing clarity for digital asset spot markets : hearing before the Committee on Agriculture, House of Representatives, One Hundred Eighteenth Congress, first session, June 6, 2023
- Providing for consideration of the bill (H.R. 2930) to amend the securities laws to provide for registration exemptions for certain crowdfunded securities, and for other purposes, and providing for consideration of the bill (H.R. 2940) to direct the Securities and Exchange Commission to eliminate the prohibition against general solicitation as a requirement for a certain exemption under regulation D, report (to accompany H. Res. 453)
- Notice of filing of amendment no. 2 relating to NAqcess system and accompanying rules of practice
- Accounts, opening a brokerage account, U.S. Securities and Exchange Commission
- Securities Investor Protection Corporation (SIPC), U.S. Securities and Exchange Commission
- Amending the Dodd-Frank Wall Street Reform and Consumer Protection Act to adjust the date on which consolidated assets are determined for purposes of exempting certain instruments of smaller institutions from capital deductions, report (to accompany H.R. 3128) (including cost estimate of the Congressional Budget Office)
- Due Process Restoration Act of 2017, report together with minority views (to accompany H.R. 2128)
- Consumer Financial Choice and Capital Markets Protection Act of 2017, report (to accompany H.R. 2319) (including cost estimate of the Congressional Budget Office)
- Regulation best interest (Reg BI), the SEC's rule for broker-dealers, Gary Shorter
- Expanding Access to Capital Act of 2023, report (to accompany H.R. 2799) (including cost estimate of the Congressional Budget Office)
- Second Treasury report on regulatory relief, capital markets, Eva Su
- The future of digital assets, identifying the regulatory gaps in spot market regulation : hearing before the Subcommittee on Commodity Markets, Digital Assets, and Rural Development of the Committee on Agriculture, House of Representatives, One Hundred Eighteenth Congress, first session
- Private securities offerings, background and legislation, Eva Su
- Enhanced investor protection after the financial crisis, hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session ... July 12, 2011
- Registration under the Securities Act of 1933, U.S. Securities and Exchange Commission
- Regulation D exemption process, U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits
- Scope of exemption from state securities regulation, report (to accompany H.R. 2868) (including cost estimate of the Congressional Budget Office)
- The SEC's best interest proposal for advice given by broker-dealers, Gary Shorter
- Financial transactions taxes, in brief, Mark P. Keightley
- Report concerning display of customer limit orders, Office of Compliance Inspections and Examinations ; Office of Economic Analysis
- The future of digital assets, joint hearing before the Subcommittee on Digital Assets, Financial Technology, and Inclusion of the Committee on Financial Services, and the Subcommittee on Commodity Markets, Digital Assets, and Rural Development of the Committee on Agriculture, U.S. House of Representatives, One Hundred Eighteenth Congress, first session, May 10, 2023
- Conflicts of interest, investor loss of confidence, and high speed trading in U.S. stock markets, hearing before the Permanent Subcommittee on Investigations of the Committee on Homeland Security and Governmental Affairs, United States Senate, One Hundred Thirteenth Congress, second session, June 17, 2014
- To Amend the Federal Securities Laws to Specify the Periods for which Financial Statements are Required to be Provided by an Emerging Growth Company, and for Other Purposes, report (to accompany H.R. 2608) (Including cost estimate of the Congressional Budget Office)
- Encouraging Employee Ownership Act of 2015, report together with minority views (to accompany H.R. 1675) (including cost estimate of the Congressional Budget Office)
- Report on the comparison of order executions across equity market structures
- Continuation of the national emergency with respect to the threat from securities investments that finance certain companies of the People's Republic of China, communication from the President of the United States transmitting notification that the national emergency with respect to the threat from securities investments that finance certain companies of the People's Republic of China, declared in Executive Order 13959 of November 12, 2020, and expanded in scope by Executive Order 14032 of June 3, 2021, is to continue in effect beyond November 12, 2022, pursuant to 50 U.S.C. 1622(d); Public Law 94- 412, Sec. 202(d); (90 Stat. 1257)
- Sophistication or discrimination?, how the "accredited investor" definition unfairly limits investment access for the non-wealthy and the need for reform : hearing before the Subcommittee on Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eighteenth Congress, first session, February 8, 2023
- Examining the role of municipal bond markets in advancing-and undermining- economic, racial, and social justice, virtual hearing before the Subcommittee on Oversight and Investigations of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, first session, April 28, 2021
- Senior Security Act of 2023, report (to accompany H.R. 2593) (Including cost estimate of the Congressional Budget Office)
- Putting investors first, reviewing proposals to hold executives accountable : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, April 3, 2019
- Putting investors first?, examining the SEC's best interest rule : hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Sixteenth Congress, first session, March 14, 2019
- Providing for consideration of H.R. 1088, Investor and Capital Markets Fee Relief Act, report (to accompany H. Res. 161)
- Evaluating the impact of securities regulation on venture capital markets, James R. Barth, Joseph J. Cordes, and Gregory Tassey
- Ensuring effectiveness, fairness, and transparency in securities law enforcement, hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, second session, June 13, 2018
- Insider Trading Prohibition Act, report together with minority views (to accompany H.R. 2534) (including cost estimate of the Congressional Budget Office)
- To Amend the Investment Advisers Act of 1940 to Codify Certain Securities and Exchange Commission No-action Letters that Exclude Brokers and Dealers Compensated for Certain Research Services from the Definition of Investment Adviser, and for Other Purposes, report (to accompany H.R. 2622)
- Takeover bids, hearing before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninetieth Congress, second session on H.R. 14475, S. 510, bills providing for full disclosure of corporate equity ownership of securities under the Securities Exchange Act of 1934, July 1, 1968
- Mutual Fund Litigation Reform Act, report together with minority views (to accompany H.R. 4738) (including cost estimate of the Congressional Budget Office)
- ESG Disclosure Simplification Act of 2019, report together with minority views (to accompany H.R. 4329) (including cost estimate of the Congressional Budget Office)
- Regulation Fair Disclosure revisited, a report, Laura S. Unger
- Legislative proposals regarding derivatives, hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, second session, February 14, 2018
- Implementation and cybersecurity protocols of the consolidated audit trail, hearing before the Subcommittee on Capital Markets, Securities, and Investment of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fifteenth Congress, first session, November 30, 2017
- Trading Isn't a Game Act, report together with minority views (to accompany H.R. 4685) (including cost estimate of the Congressional Budget Office)
- Introduction to financial services, the regulatory framework, Marc Labonte
- Legislative proposals to improve the U.S. capital markets, hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, December 2, 2015
- A notch above? examining the bond rating industry, hybrid hearing before the Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventeenth Congress, second session, May 11, 2022
- Derivatives Fairness Act, report together with minority views (to accompany H.R. 5323) (including cost estimate of the Congressional Budget Office)
- Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2021, report (to accompany H.R. 935) (including cost estimate of the Congressional Budget Office)
- Middle Market IPO Underwriting Cost Act, report (to accompany H.R. 2812) (including cost estimate of the Congressional Budget Office)
- Stronger Enforcement of Civil Penalties Act of 2019, report together with minority views (to accompany H.R. 3641) (including cost estimate of the Congressional Budget Office)
Outgoing Resources
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