Security brokers & investment companies (Financial Services related)

TopicBill numbersort iconAuthorInterest positionBecame law
SEC Regulatory Accountability Act H.R. 1062 (113th) GarrettSupportNo
To improve the consideration by the Securities and Exchange Commission of the costs and benefits of its regulations and orders. (by More
To improve the consideration by the Securities and Exchange Commission of the costs and benefits of its regulations and orders. (by CRS) Hide
Swap Jurisdiction Certainty Act H.R. 1256 (113th) GarrettSupportNo
To direct the Securities and Exchange Commission and the Commodity Futures Trading Commission to jointly adopt rules setting forth the application to cross-border swaps transactions of certain… More
To direct the Securities and Exchange Commission and the Commodity Futures Trading Commission to jointly adopt rules setting forth the application to cross-border swaps transactions of certain provisions relating to swaps that were enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act. (by CRS) Hide
Financial Competitive Act of 2013 H.R. 1341 (113th) FincherSupportNo
To require the Financial Stability Oversight Council to conduct a study of the likely effects of the differences between the United States and other jurisdictions in implementing the derivatives… More
To require the Financial Stability Oversight Council to conduct a study of the likely effects of the differences between the United States and other jurisdictions in implementing the derivatives credit valuation adjustment capital requirement. (by CRS) Hide
Audit Integrity and Job Protection Act H.R. 1564 (113th) HurtSupportNo
To amend the Sarbanes-Oxley Act of 2002 to prohibit the Public Company Accounting Oversight Board from requiring public companies to use specific auditors or require the use of different auditors on… More
To amend the Sarbanes-Oxley Act of 2002 to prohibit the Public Company Accounting Oversight Board from requiring public companies to use specific auditors or require the use of different auditors on a rotating basis. (by CRS) Hide
Investment Adviser Examination Improvement Act of 2013 H.R. 1627 (113th) WatersSupportNo
To amend the Investment Advisers Act of 1940 to require certain investment advisers to pay fees to help cover the costs of inspecting and examining investment advisers under such Act. (by… More
To amend the Investment Advisers Act of 1940 to require certain investment advisers to pay fees to help cover the costs of inspecting and examining investment advisers under such Act. (by CRS) Hide
Shareholder Protection Act of 2013 H.R. 1734 (113th) CapuanoSupportNo
To amend the Securities Exchange Act of 1934 to require shareholder authorization before a public company may make certain political expenditures, and for other purposes. (by More
To amend the Securities Exchange Act of 1934 to require shareholder authorization before a public company may make certain political expenditures, and for other purposes. (by CRS) Hide
Small Business Mergers, Acquisitions, Sales, and Brokerage Simplification Act of 2014 H.R. 2274 (113th) HuizengaSupportNo
To amend the Securities Exchange Act of 1934 to exempt from registration brokers performing services in connection with the transfer of ownership of smaller privately held companies. (by… More
To amend the Securities Exchange Act of 1934 to exempt from registration brokers performing services in connection with the transfer of ownership of smaller privately held companies. (by CRS) Hide
Retail Investor Protection Act H.R. 2374 (113th) WagnerSupportNo
To amend the Securities Exchange Act of 1934 to provide protections for retail customers, and for other purposes. (by CRS)
Innovation Act H.R. 3309 (113th) GoodlatteOpposeNo
To amend title 35, United States Code, and the Leahy-Smith America Invents Act to make improvements and technical corrections, and for other purposes. (by More
To amend title 35, United States Code, and the Leahy-Smith America Invents Act to make improvements and technical corrections, and for other purposes. (by CRS) Hide
Small Cap Liquidity Reform Act of 2014 H.R. 3448 (113th) DuffySupportNo
To amend the Securities Exchange Act of 1934 to provide for an optional pilot program allowing certain emerging growth companies to increase the tick sizes of their stocks. (by More
To amend the Securities Exchange Act of 1934 to provide for an optional pilot program allowing certain emerging growth companies to increase the tick sizes of their stocks. (by CRS) Hide
Bipartisan Congressional Trade Priorities Act of 2014 H.R. 3830 (113th) CampSupportNo
To establish congressional trade negotiating objectives and enhanced consultation requirements for trade negotiations, to provide for consideration of trade agreements, and for other purposes.… More
To establish congressional trade negotiating objectives and enhanced consultation requirements for trade negotiations, to provide for consideration of trade agreements, and for other purposes. (by CRS) Hide
Restoring Proven Financing for American Employers Act H.R. 4167 (113th) BarrSupportNo
To amend section 13 of the Bank Holding Company Act of 1956, known as the Volcker Rule, to exclude certain debt securities of collateralized loan obligations from the prohibition against acquiring or… More
To amend section 13 of the Bank Holding Company Act of 1956, known as the Volcker Rule, to exclude certain debt securities of collateralized loan obligations from the prohibition against acquiring or retaining an ownership interest in a hedge fund or private equity fund. (by CRS) Hide
Futures Customer Protection Act H.R. 4413 (113th) LucasSupportNo
To reauthorize the Commodity Futures Trading Commission, to better protect futures customers, to provide end users with market certainty, to make basic reforms to ensure transparency and… More
To reauthorize the Commodity Futures Trading Commission, to better protect futures customers, to provide end users with market certainty, to make basic reforms to ensure transparency and accountability at the Commission, to help farmers, ranchers, and end users manage risks to help keep consumer costs low, and for other purposes. (by CRS) Hide
Business Risk Mitigation and Price Stabilization Act of 2013 H.R. 634 (113th) GrimmSupportNo
To provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934, and for other purposes. (by More
To provide end user exemptions from certain provisions of the Commodity Exchange Act and the Securities Exchange Act of 1934, and for other purposes. (by CRS) Hide
Swap Data Repository and Clearinghouse Indemnification Correction Act of 2013 H.R. 742 (113th) CrawfordSupportNo
To amend the Securities Exchange Act of 1934 and the Commodity Exchange Act to repeal the indemnification requirements for regulatory authorities to obtain access to swap data required to be provided… More
To amend the Securities Exchange Act of 1934 and the Commodity Exchange Act to repeal the indemnification requirements for regulatory authorities to obtain access to swap data required to be provided by swaps entities under such Acts. (by CRS) Hide
Swaps Regulatory Improvement Act H.R. 992 (113th) HultgrenSupportNo
To amend provisions in section 716 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to Federal assistance for swaps entities. (by More
To amend provisions in section 716 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to Federal assistance for swaps entities. (by CRS) Hide
Pathway for SGR Reform Act of 2013 H.J.Res. 59 (113th) RogersSupportNo
Making continuing appropriations for fiscal year 2014, and for other purposes. (by CRS)
Secure Annuities for Employee Retirement Act of 2013 S. 1270 (113th) HatchSupportNo
A bill to amend the Internal Revenue Code of 1986 to provide for reform of public and private pension plans, and for other purposes. (by More
A bill to amend the Internal Revenue Code of 1986 to provide for reform of public and private pension plans, and for other purposes. (by CRS) Hide
Bipartisan Congressional Trade Priorities Act of 2014 S. 1900 (113th) BaucusSupportNo
A bill to establish congressional trade negotiating objectives and enhanced consultation requirements for trade negotiations, to provide for consideration of trade agreements, and for other purposes.… More
A bill to establish congressional trade negotiating objectives and enhanced consultation requirements for trade negotiations, to provide for consideration of trade agreements, and for other purposes. (by CRS) Hide
National Association of Registered Agents and Brokers Reform Act of 2014 S. 2244 (113th) SchumerSupportNo
A bill to extend the termination date of the Terrorism Insurance Program established under the Terrorism Risk Insurance Act of 2002, and for other purposes. (by More
A bill to extend the termination date of the Terrorism Insurance Program established under the Terrorism Risk Insurance Act of 2002, and for other purposes. (by CRS) Hide
Shrinking Emergency Account Losses Act of 2013 S. 606 (113th) NelsonSupportNo
A bill to amend the Internal Revenue Code of 1986 to modify the rules relating to loans made from a qualified employer plan, and for other purposes. (by More
A bill to amend the Internal Revenue Code of 1986 to modify the rules relating to loans made from a qualified employer plan, and for other purposes. (by CRS) Hide
Terminating Bailouts for Taxpayer Fairness Act of 2013 S. 798 (113th) BrownOpposeNo
A bill to address equity capital requirements for financial institutions, bank holding companies, subsidiaries, and affiliates, and for other purposes. (by More
A bill to address equity capital requirements for financial institutions, bank holding companies, subsidiaries, and affiliates, and for other purposes. (by CRS) Hide
Private Company Flexibility and Growth Act H.R. 2167 (112th) SchweikertSupportNo
To amend the Securities Exchange Act of 1934 to change the threshold number of shareholders for required registration under that Act. (by More
To amend the Securities Exchange Act of 1934 to change the threshold number of shareholders for required registration under that Act. (by CRS) Hide
To Exempt Inter-Affiliate Swaps from Certain Regulatory Requirements Put in Place by the Dodd-Frank Wall Street Reform and Consumer Protection Act. H.R. 2779 (112th) StiversSupportNo
To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act. (by More
To exempt inter-affiliate swaps from certain regulatory requirements put in place by the Dodd-Frank Wall Street Reform and Consumer Protection Act. (by CRS) Hide
Entrepreneur Access to Capital Act H.R. 2930 (112th) McHenrySupportNo
To amend the securities laws to provide for registration exemptions for certain crowdfunded securities, and for other purposes. (by More
To amend the securities laws to provide for registration exemptions for certain crowdfunded securities, and for other purposes. (by CRS) Hide
Access to Capital for Job Creators Act H.R. 2940 (112th) McCarthySupportNo
To direct the Securities and Exchange Commission to eliminate the prohibition against general solicitation as a requirement for a certain exemption under Regulation D. (by More
To direct the Securities and Exchange Commission to eliminate the prohibition against general solicitation as a requirement for a certain exemption under Regulation D. (by CRS) Hide
Russia and Moldova Jackson-Vanik Repeal and Sergei Magnitsky Rule of Law Accountability Act of 2012 H.R. 6156 (112th) CampSupportYes
To authorize the extension of nondiscriminatory treatment (normal trade relations treatment) to products of the Russian Federation and Moldova and to require reports on the compliance of the Russian… More
To authorize the extension of nondiscriminatory treatment (normal trade relations treatment) to products of the Russian Federation and Moldova and to require reports on the compliance of the Russian Federation with its obligations as a member of the World Trade Organization, and for other purposes. (by CRS) Hide
Equitable Treatment of Investors Act H.R. 757 (112th) GarrettOpposeNo
To amend the Securities Investor Protection Act of 1970 to confirm that a customer's net equity claim is based on the customer's last statement and that certain recoveries are prohibited,… More
To amend the Securities Investor Protection Act of 1970 to confirm that a customer's net equity claim is based on the customer's last statement and that certain recoveries are prohibited, to change how trustees are appointed, and for other purposes. (by CRS) Hide
United States Covered Bond Act of 2011 H.R. 940 (112th) GarrettSupportNo
To establish standards for covered bond programs and a covered bond regulatory oversight program, and for other purposes. (by More
To establish standards for covered bond programs and a covered bond regulatory oversight program, and for other purposes. (by CRS) Hide
Building American Jobs Act of 2011 H.R. 992 (112th) LevinSupportNo
To amend the Internal Revenue Code of 1986 to create jobs through increased investment in infrastructure, and for other purposes. (by More
To amend the Internal Revenue Code of 1986 to create jobs through increased investment in infrastructure, and for other purposes. (by CRS) Hide
Access to Capital for Job Creators Act S. 1831 (112th) ThuneSupportNo
A bill to direct the Securities and Exchange Commission to eliminate the prohibition against general solicitation as a requirement for a certain exemption under Regulation D. (by More
A bill to direct the Securities and Exchange Commission to eliminate the prohibition against general solicitation as a requirement for a certain exemption under Regulation D. (by CRS) Hide
United States Covered Bond Act S. 1835 (112th) HaganSupportNo
A bill to establish standards for covered bond programs and a covered bond regulatory oversight program, and for other purposes. (by More
A bill to establish standards for covered bond programs and a covered bond regulatory oversight program, and for other purposes. (by CRS) Hide
Democracy is Strengthened by Casting Light On Spending in Elections Act of 2012 S. 2219 (112th) WhitehouseSupportNo
A bill to amend the Federal Election Campaign Act of 1971 to provide for additional disclosure requirements for corporations, labor organizations, Super PACs and other entities, and for other… More
A bill to amend the Federal Election Campaign Act of 1971 to provide for additional disclosure requirements for corporations, labor organizations, Super PACs and other entities, and for other purposes. (by CRS) Hide
Democracy Is Strengthened by Casting Light On Spending in Elections Act of 2012 S. 3369 (112th) WhitehouseSupportNo
A bill to amend the Federal Election Campaign Act of 1971 to provide for additional disclosure requirements for corporations, labor organizations, Super PACs and other entities, and for other… More
A bill to amend the Federal Election Campaign Act of 1971 to provide for additional disclosure requirements for corporations, labor organizations, Super PACs and other entities, and for other purposes. (by CRS) Hide
Let Wall Street Pay for Wall Street's Bailout Act of 2009 H.R. 1068 (111th) DeFazioOpposeNo
To amend the Internal Revenue Code of 1986 to impose a tax on certain securities transactions to the extent required to recoup the net cost of the Troubled Asset Relief Program. (by More
To amend the Internal Revenue Code of 1986 to impose a tax on certain securities transactions to the extent required to recoup the net cost of the Troubled Asset Relief Program. (by CRS) Hide
401(K) Fair Disclosure for Retirement Security Act of 2009 H.R. 1984 (111th) MillerSupportNo
To amend title I of the Employee Retirement Income Security Act of 1974 to provide special reporting and disclosure rules for individual account plans and to provide a minimum investment option… More
To amend title I of the Employee Retirement Income Security Act of 1974 to provide special reporting and disclosure rules for individual account plans and to provide a minimum investment option requirement for such plans. (by CRS) Hide
Helping Families Save Their Homes in Bankruptcy Act of 2009 H.R. 200 (111th) ConyersOpposeNo
To amend title 11 of the United States Code with respect to modification of certain mortgages on principal residences, and for other purposes. (by More
To amend title 11 of the United States Code with respect to modification of certain mortgages on principal residences, and for other purposes. (by CRS) Hide
America's Affordable Health Choices Act of 2009 H.R. 3200 (111th) DingellOpposeNo
To provide affordable, quality health care for all Americans and reduce the growth in health care spending, and for other purposes. (by More
To provide affordable, quality health care for all Americans and reduce the growth in health care spending, and for other purposes. (by CRS) Hide
Small Business Financing and Investment Act of 2009 H.R. 3854 (111th) SchraderSupportNo
To amend the Small Business Act and the Small Business Investment Act of 1958 to improve programs providing access to capital under such Acts, and for other purposes. (by More
To amend the Small Business Act and the Small Business Investment Act of 1958 to improve programs providing access to capital under such Acts, and for other purposes. (by CRS) Hide
Foreign Account Tax Compliance Act of 2009 H.R. 3933 (111th) RangelOpposeNo
To amend the Internal Revenue Code of 1986 to prevent the avoidance of tax on income from assets held abroad, and for other purposes. (by More
To amend the Internal Revenue Code of 1986 to prevent the avoidance of tax on income from assets held abroad, and for other purposes. (by CRS) Hide
Regulated Investment Company Modernization Act of 2010 H.R. 4337 (111th) RangelSupportYes
To amend the Internal Revenue Code of 1986 to modify certain rules applicable to regulated investment companies, and for other purposes. (by More
To amend the Internal Revenue Code of 1986 to modify certain rules applicable to regulated investment companies, and for other purposes. (by CRS) Hide
Expanded and Improved Medicare for All Act H.R. 676 (111th) ConyersOpposeNo
To provide for comprehensive health insurance coverage for all United States residents, improved health care delivery, and for other purposes. (by More
To provide for comprehensive health insurance coverage for all United States residents, improved health care delivery, and for other purposes. (by CRS) Hide
Derivatives Markets Transparency and Accountability Act of 2009 H.R. 977 (111th) PetersonOpposeNo
Increases regulation and transparency of futures, options and over the counter markets. The goal is to prevent price distortions resulting from unrestrained speculative trading. Gives the Commodity… More
Increases regulation and transparency of futures, options and over the counter markets. The goal is to prevent price distortions resulting from unrestrained speculative trading. Gives the Commodity Futures Trading Commission (CFTC) more oversight power of markets including the ability to suspend trading under certain circumstances, set trading limits for some commodities and to prosecute violators. CFTC and the Securities and Exchange Commission (SEC) maintain clearing power over transactions and CFTC must report the trading activity of index funds and swap dealers in agriculture and energy markets. Requires foreign traders (such as from London's financial center) to share trading data. (by CRS) Hide
Foreign Account Tax Compliance Act of 2009 S. 1934 (111th) BaucusOpposeNo
A bill to amend the Internal Revenue Code of 1986 to prevent the avoidance of tax on income from assets held abroad, and for other purposes. (by More
A bill to amend the Internal Revenue Code of 1986 to prevent the avoidance of tax on income from assets held abroad, and for other purposes. (by CRS) Hide
Emergency Economic Stabilization Act of 2008 H.R. 1424 (110th) KennedySupportYes
A bill to provide authority for the Federal Government to purchase and insure certain types of troubled assets for the purposes of providing stability to and preventing disruption in the economy and… More
A bill to provide authority for the Federal Government to purchase and insure certain types of troubled assets for the purposes of providing stability to and preventing disruption in the economy and financial system and protecting taxpayers, to amend the Internal Revenue Code of 1986 to provide incentives for energy production and conservation, to extend certain expiring provisions, to provide individual income tax relief, and for other purposes. (by CRS) Hide
American Homebuyers Protection Act H.R. 1519 (110th) GonzalezOpposeNo
To prohibit offering homebuilding purchase contracts that contain in a single document both a mandatory arbitration agreement and other contract provisions, to prohibit requiring purchasers to… More
To prohibit offering homebuilding purchase contracts that contain in a single document both a mandatory arbitration agreement and other contract provisions, to prohibit requiring purchasers to consent to a mandatory arbitration agreement as a condition precedent to entering into a homebuilding purchase contract, and to provide for the Federal Trade Commission to enforce violations of such prohibitions as unfair and deceptive acts or practices under the Federal Trade Commission Act. (by CRS) Hide
Internet Spyware (I-SPY) Prevention Act of 2007 H.R. 1525 (110th) LofgrenSupportNo
To amend title 18, United States Code, to discourage spyware, and for other purposes. (by CRS)
Tax Equity for Health Plan Beneficiaries Act of 2007 H.R. 1820 (110th) McDermottSupportNo
To amend the Internal Revenue Code of 1986 to extend the exclusion from gross income for employer-provided health coverage for employees' spouses and dependent children to coverage provided to… More
To amend the Internal Revenue Code of 1986 to extend the exclusion from gross income for employer-provided health coverage for employees' spouses and dependent children to coverage provided to other eligible designated beneficiaries of employees. (by CRS) Hide
Housing and Economic Recovery Act of 2008 H.R. 3221 (110th) PelosiSupportYes
A bill to provide needed housing reform and for other purposes. (by CRS)
Tax Increase Prevention Act of 2007 H.R. 3996 (110th) RangelOpposeYes
To amend the Internal Revenue Code of 1986 to extend certain expiring provisions, and for other purposes. (by CRS)
Defenders of Freedom Tax Relief Act of 2007 H.R. 3997 (110th) RangelSupportNo
An Act to amend the Internal Revenue Code of 1986 to provide tax relief and protections for military personnel, and for other purposes. (by More
An Act to amend the Internal Revenue Code of 1986 to provide tax relief and protections for military personnel, and for other purposes. (by CRS) Hide
Taxpayer Assistance and Simplification Act of 2008 H.R. 5719 (110th) RangelOpposeNo
To amend the Internal Revenue Code of 1986 to conform return preparer penalty standards, delay implementation of withholding taxes on government contractors, enhance taxpayer protections, assist… More
To amend the Internal Revenue Code of 1986 to conform return preparer penalty standards, delay implementation of withholding taxes on government contractors, enhance taxpayer protections, assist low-income taxpayers, and for other purposes. (by CRS) Hide
Energy Improvement and Extension Act of 2008 H.R. 6049 (110th) RangelSupportNo
To amend the Internal Revenue Code of 1986 to provide incentives for energy production and conservation, to extend certain expiring provisions, to provide individual income tax relief, and for other… More
To amend the Internal Revenue Code of 1986 to provide incentives for energy production and conservation, to extend certain expiring provisions, to provide individual income tax relief, and for other purposes. (by CRS) Hide
Commodity Markets Transparency and Accountability Act of 2008 H.R. 6604 (110th) PetersonOpposeNo
To amend the Commodity Exchange Act to bring greater transparency and accountability to commodity markets, and for other purposes. (by More
To amend the Commodity Exchange Act to bring greater transparency and accountability to commodity markets, and for other purposes. (by CRS) Hide
Alternative Minimum Tax and Extenders Tax Relief Act of 2008 S. 2886 (110th) BaucusSupportNo
A bill to amend the Internal Revenue Code of 1986 to amend certain expiring provisions. (by CRS)
Stop Excessive Energy Speculation Act of 2008 S. 3268 (110th) ReidOpposeNo
A bill to amend the Commodity Exchange Act, to prevent excessive price speculation with respect to energy commodities, and for other purposes. (by More
A bill to amend the Commodity Exchange Act, to prevent excessive price speculation with respect to energy commodities, and for other purposes. (by CRS) Hide