Congressional Bills

H.R. 10 (Introduced in House)

683 sections

PreambleTo create hope and opportunity for investors, consumers, and entrepreneurs by ending bailouts and Too Big to Fail, ho...
PreambleTo create hope and opportunity for investors, consumers, and entrepreneurs by ending bailouts and Too Big to Fail, ho...
PreambleTo create hope and opportunity for investors, consumers, and entrepreneurs by ending bailouts and Too Big to Fail, ho...
Sec. 1Short title; table of contents
Sec. 1Short title; table of contents
Sec. 1Short title; table of contents
Sec. 2Directed rulemaking repeals
Sec. 111Repeal of the orderly liquidation authority
Sec. 111Repeal of the orderly liquidation authority
Sec. 111Repeal of the orderly liquidation authority
Sec. 121General provisions relating to covered financial corporations
Sec. 121General provisions relating to covered financial corporations
Sec. 121General provisions relating to covered financial corporations
Sec. 122Liquidation, reorganization, or recapitalization of a covered financial corporation
Sec. 122Liquidation, reorganization, or recapitalization of a covered financial corporation
Sec. 122Liquidation, reorganization, or recapitalization of a covered financial corporation
Sec. 123Amendments to title 28, United States Code
Sec. 123Amendments to title 28, United States Code
Sec. 123Amendments to title 28, United States Code
Sec. 131Repeal of obligation guarantee program
Sec. 131Repeal of obligation guarantee program
Sec. 131Repeal of obligation guarantee program
Sec. 132Repeal of systemic risk determination in resolutions
Sec. 132Repeal of systemic risk determination in resolutions
Sec. 132Repeal of systemic risk determination in resolutions
Sec. 133Restrictions on use of the Exchange Stabilization Fund
Sec. 133Restrictions on use of the Exchange Stabilization Fund
Sec. 133Restrictions on use of the Exchange Stabilization Fund
Sec. 141Repeal of title VIII
Sec. 141Repeal of title VIII
Sec. 141Repeal of title VIII
Sec. 151Repeal and modification of provisions of the Financial Stability Act of 2010
Sec. 151Repeal and modification of provisions of the Financial Stability Act of 2010
Sec. 151Repeal and modification of provisions of the Financial Stability Act of 2010
Sec. 152Operational risk capital requirements for banking organizations
Sec. 152Operational risk capital requirements for banking organizations
Sec. 152Operational risk capital requirements for banking organizations
Sec. 211Enhancement of civil penalties for securities laws violations
Sec. 211Enhancement of civil penalties for securities laws violations
Sec. 211Enhancement of civil penalties for securities laws violations
Sec. 212Updated civil money penalties of Public Company Accounting Oversight Board
Sec. 212Updated civil money penalties of Public Company Accounting Oversight Board
Sec. 212Updated civil money penalties of Public Company Accounting Oversight Board
Sec. 213Updated civil money penalty for controlling persons in connection with insider trading
Sec. 213Updated civil money penalty for controlling persons in connection with insider trading
Sec. 213Updated civil money penalty for controlling persons in connection with insider trading
Sec. 214Update of certain other penalties
Sec. 214Update of certain other penalties
Sec. 214Update of certain other penalties
Sec. 215Monetary sanctions to be used for the relief of victims
Sec. 215Monetary sanctions to be used for the relief of victims
Sec. 215Monetary sanctions to be used for the relief of victims
Sec. 216GAO report on use of civil money penalty authority by Commission
Sec. 216GAO report on use of civil money penalty authority by Commission
Sec. 216GAO report on use of civil money penalty authority by Commission
Sec. 221Increase of civil and criminal penalties originally established in the Financial Institutions Reform, Recovery, and Enforcement Act of 1989
Sec. 221Increase of civil and criminal penalties originally established in the Financial Institutions Reform, Recovery, and Enforcement Act of 1989
Sec. 221Increase of civil and criminal penalties originally established in the Financial Institutions Reform, Recovery, and Enforcement Act of 1989
Sec. 311Definitions
Sec. 311Definitions
Sec. 311Definitions
Sec. 312Required regulatory analysis
Sec. 312Required regulatory analysis
Sec. 312Required regulatory analysis
Sec. 313Rule of construction
Sec. 313Rule of construction
Sec. 313Rule of construction
Sec. 314Public availability of data and regulatory analysis
Sec. 314Public availability of data and regulatory analysis
Sec. 314Public availability of data and regulatory analysis
Sec. 315Five-year regulatory impact analysis
Sec. 315Five-year regulatory impact analysis
Sec. 315Five-year regulatory impact analysis
Sec. 316Retrospective review of existing rules
Sec. 316Retrospective review of existing rules
Sec. 316Retrospective review of existing rules
Sec. 317Judicial review
Sec. 317Judicial review
Sec. 317Judicial review
Sec. 318Chief Economists Council
Sec. 318Chief Economists Council
Sec. 318Chief Economists Council
Sec. 319Conforming amendments
Sec. 319Conforming amendments
Sec. 319Conforming amendments
Sec. 320Other regulatory entities
Sec. 320Other regulatory entities
Sec. 320Other regulatory entities
Sec. 321Avoidance of duplicative or unnecessary analyses
Sec. 321Avoidance of duplicative or unnecessary analyses
Sec. 321Avoidance of duplicative or unnecessary analyses
Sec. 331Congressional review
Sec. 331Congressional review
Sec. 331Congressional review
Sec. 332Congressional approval procedure for major rules
Sec. 332Congressional approval procedure for major rules
Sec. 332Congressional approval procedure for major rules
Sec. 333Congressional disapproval procedure for nonmajor rules
Sec. 333Congressional disapproval procedure for nonmajor rules
Sec. 333Congressional disapproval procedure for nonmajor rules
Sec. 334Definitions
Sec. 334Definitions
Sec. 334Definitions
Sec. 335Judicial review
Sec. 335Judicial review
Sec. 335Judicial review
Sec. 336Effective date of certain rules
Sec. 336Effective date of certain rules
Sec. 336Effective date of certain rules
Sec. 337Budgetary effects of rules subject to section 332 of the Financial CHOICE Act of 2017
Sec. 337Budgetary effects of rules subject to section 332 of the Financial CHOICE Act of 2017
Sec. 337Budgetary effects of rules subject to section 332 of the Financial CHOICE Act of 2017
Sec. 338Nonapplicability to monetary policy
Sec. 341Scope of judicial review of agency actions
Sec. 341Scope of judicial review of agency actions
Sec. 341Scope of judicial review of agency actions
Sec. 351Federal Deposit Insurance Corporation
Sec. 351Federal Deposit Insurance Corporation
Sec. 351Federal Deposit Insurance Corporation
Sec. 352Federal Housing Finance Agency
Sec. 352Federal Housing Finance Agency
Sec. 352Federal Housing Finance Agency
Sec. 361Bringing the Federal Deposit Insurance Corporation into the regular appropriations process
Sec. 361Bringing the Federal Deposit Insurance Corporation into the appropriations process
Sec. 361Bringing the Federal Deposit Insurance Corporation into the appropriations process
Sec. 362Bringing the Federal Housing Finance Agency into the regular appropriations process
Sec. 362Bringing the Federal Housing Finance Agency into the appropriations process
Sec. 362Bringing the Federal Housing Finance Agency into the appropriations process
Sec. 363Bringing the National Credit Union Administration into the regular appropriations process
Sec. 363Bringing the examination and supervision functions of the National Credit Union Administration into the appropriations process
Sec. 363Bringing the National Credit Union Administration into the appropriations process
Sec. 364Bringing the Office of the Comptroller of the Currency into the regular appropriations process
Sec. 364Bringing the Office of the Comptroller of the Currency into the appropriations process
Sec. 364Bringing the Office of the Comptroller of the Currency into the appropriations process
Sec. 365Bringing the non-monetary policy related functions of the Board of Governors of the Federal Reserve System into the regular appropriations process
Sec. 365Bringing the non-monetary policy related functions of the Board of Governors of the Federal Reserve System into the appropriations process
Sec. 365Bringing the non-monetary policy related functions of the Board of Governors of the Federal Reserve System into the appropriations process
Sec. 371Requirements for international processes
Sec. 371Requirements for international processes
Sec. 371Requirements for international processes
Sec. 381Definitions
Sec. 381Definitions
Sec. 381Definitions
Sec. 382Statements to accompany significant regulatory actions
Sec. 382Application of the Unfunded Mandates Reform Act
Sec. 382Statements to accompany significant regulatory actions
Sec. 383Small government agency plan
Sec. 383Small government agency plan
Sec. 384State, local, and tribal government and private sector input
Sec. 384State, local, and tribal government and private sector input
Sec. 385Least burdensome option or explanation required
Sec. 385Least burdensome option or explanation required
Sec. 386Assistance to the Office of Information and Regulatory Affairs
Sec. 386Assistance to the Office of Information and Regulatory Affairs
Sec. 387Office of Information and Regulatory Affairs responsibilities
Sec. 387Office of Information and Regulatory Affairs responsibilities
Sec. 388Judicial review
Sec. 388Judicial review
Sec. 391Policies to minimize duplication of enforcement efforts
Sec. 391Policies to minimize duplication of enforcement efforts
Sec. 391Policies to minimize duplication of enforcement efforts
Sec. 392Criminal penalty for unauthorized disclosures
Sec. 392Criminal penalty for unauthorized disclosures
Sec. 392Criminal penalty for unauthorized disclosures
Sec. 393Limitation on donations made pursuant to settlement agreements to which certain departments or agencies are a party
Sec. 393Limitation on donations made pursuant to settlement agreements to which certain departments or agencies are a party
Sec. 393Limitation on donations made pursuant to settlement agreements to which certain departments or agencies are a party
Sec. 401Registration exemption for merger and acquisition brokers
Sec. 401Registration exemption for merger and acquisition brokers
Sec. 401Registration exemption for merger and acquisition brokers
Sec. 402Effective date
Sec. 402Effective date
Sec. 402Effective date
Sec. 406Increased threshold for disclosures relating to compensatory benefit plans
Sec. 406Increased threshold for disclosures relating to compensatory benefit plans
Sec. 406Increased threshold for disclosures relating to compensatory benefit plans
Sec. 411Exemption from XBRL requirements for emerging growth companies and other smaller companies
Sec. 411Exemption from XBRL requirements for emerging growth companies and other smaller companies
Sec. 411Exemption from XBRL requirements for emerging growth companies and other smaller companies
Sec. 412Analysis by the SEC
Sec. 412Analysis by the SEC
Sec. 412Analysis by the SEC
Sec. 413Report to Congress
Sec. 413Report to Congress
Sec. 413Report to Congress
Sec. 414Definitions
Sec. 414Definitions
Sec. 414Definitions
Sec. 416Refunding or crediting overpayment of section 31 fees
Sec. 416Refunding or crediting overpayment of section 31 fees
Sec. 416Refunding or crediting overpayment of section 31 fees
Sec. 421Safe harbor for investment fund research
Sec. 421Safe harbor for investment fund research
Sec. 421Safe harbor for investment fund research
Sec. 426Expanded eligibility for use of Form S–3
Sec. 426Expanded eligibility for use of Form S–3
Sec. 426Expanded eligibility for use of Form S–3
Sec. 431Certain accredited investor transactions
Sec. 431Certain accredited investor transactions
Sec. 431Certain accredited investor transactions
Sec. 436Business development company ownership of securities of investment advisers and certain financial companies
Sec. 436Business development company ownership of securities of investment advisers and certain financial companies
Sec. 436Business development company ownership of securities of investment advisers and certain financial companies
Sec. 437Expanding access to capital for business development companies
Sec. 437Expanding access to capital for business development companies
Sec. 437Expanding access to capital for business development companies
Sec. 438Parity for business development companies regarding offering and proxy rules
Sec. 438Parity for business development companies regarding offering and proxy rules
Sec. 438Parity for business development companies regarding offering and proxy rules
Sec. 441Temporary exemption for low-revenue issuers
Sec. 441Temporary exemption for low-revenue issuers
Sec. 441Temporary exemption for low-revenue issuers
Sec. 446Annual review of government-business forum on capital formation
Sec. 446Annual review of government-business forum on capital formation
Sec. 446Annual review of government-business forum on capital formation
Sec. 451Definition of angel investor group
Sec. 451Definition of angel investor group
Sec. 451Definition of angel investor group
Sec. 452Clarification of general solicitation
Sec. 452Clarification of general solicitation
Sec. 452Clarification of general solicitation
Sec. 456Venture exchanges
Sec. 456Venture exchanges
Sec. 456Venture exchanges
Sec. 461Exemptions for micro-offerings
Sec. 461Exemptions for micro-offerings
Sec. 461Exemptions for micro-offerings
Sec. 466Revisions to SEC Regulation D
Sec. 466Revisions to SEC Regulation D
Sec. 466Revisions to SEC Regulation D
Sec. 471Investor limitation for qualifying venture capital funds
Sec. 471Investor limitation for qualifying venture capital funds
Sec. 471Investor limitation for qualifying venture capital funds
Sec. 476Crowdfunding exemption
Sec. 476Crowdfunding exemption
Sec. 476Crowdfunding exemption
Sec. 477Exclusion of crowdfunding investors from shareholder cap
Sec. 477Exclusion of crowdfunding investors from shareholder cap
Sec. 477Exclusion of crowdfunding investors from shareholder cap
Sec. 478Preemption of State law
Sec. 478Preemption of State law
Sec. 478Preemption of State law
Sec. 479Treatment of funding portals
Sec. 479Treatment of funding portals
Sec. 479Treatment of funding portals
Sec. 481Definitions
Sec. 481Definitions
Sec. 481Definitions
Sec. 482Registration of proxy advisory firms
Sec. 482Registration of proxy advisory firms
Sec. 482Registration of proxy advisory firms
Sec. 483Commission annual report
Sec. 483Commission annual report
Sec. 483Commission annual report
Sec. 491Immunity
Sec. 491Immunity
Sec. 491Immunity
Sec. 492Training required
Sec. 492Training required
Sec. 492Training required
Sec. 493Relationship to State law
Sec. 493Relationship to State law
Sec. 493Relationship to State law
Sec. 496Application of exemption
Sec. 496Application of exemption
Sec. 496Application of exemption
Sec. 497Shareholder threshold for registration
Sec. 497Shareholder threshold for registration
Sec. 497Shareholder threshold for registration
Sec. 498JOBS Act-related exemption
Sec. 498JOBS Act-related exemption
Sec. 498JOBS Act-related exemption
Sec. 499Expanding testing the waters and confidential submissions
Sec. 499Expanding testing the waters and confidential submissions
Sec. 499AParity for closed-end companies regarding offering and proxy rules
Sec. 499Expanding testing the waters and confidential submissions
Sec. 501Mortgage originator definition
Sec. 501Mortgage originator definition
Sec. 501Mortgage originator definition
Sec. 502High-Cost mortgage definition
Sec. 502High-Cost mortgage definition
Sec. 502High-Cost mortgage definition
Sec. 506Definition of points and fees
Sec. 506Definition of points and fees
Sec. 506Definition of points and fees
Sec. 511Requirements for deposit account termination requests and orders
Sec. 511Requirements for deposit account termination requests and orders
Sec. 511Requirements for deposit account termination requests and orders
Sec. 512Amendments to the Financial Institutions Reform, Recovery, and Enforcement Act of 1989
Sec. 512Amendments to the Financial Institutions Reform, Recovery, and Enforcement Act of 1989
Sec. 512Amendments to the Financial Institutions Reform, Recovery, and Enforcement Act of 1989
Sec. 516Safe harbor for certain loans held on portfolio
Sec. 516Safe harbor for certain loans held on portfolio
Sec. 516Safe harbor for certain loans held on portfolio
Sec. 521Application of the Expedited Funds Availability Act
Sec. 521Application of the Expedited Funds Availability Act
Sec. 521Application of the Expedited Funds Availability Act
Sec. 526Changes required to small bank holding company policy statement on assessment of financial and managerial factors
Sec. 526Changes required to small bank holding company policy statement on assessment of financial and managerial factors
Sec. 526Changes required to small bank holding company policy statement on assessment of financial and managerial factors
Sec. 531Community financial institution mortgage relief
Sec. 531Community financial institution mortgage relief
Sec. 531Community financial institution mortgage relief
Sec. 536Timeliness of examination reports
Sec. 536Timeliness of examination reports
Sec. 536Timeliness of examination reports
Sec. 541Budget transparency for the NCUA
Sec. 541Budget transparency for the NCUA
Sec. 541Budget transparency for the NCUA
Sec. 546Regulations appropriate to business models
Sec. 546Regulations appropriate to business models
Sec. 546Regulations appropriate to business models
Sec. 551Option for Federal savings associations to operate as a covered savings association
Sec. 551Option for Federal savings associations to operate as a covered savings association
Sec. 551Option for Federal savings associations to operate as a covered savings association
Sec. 556Eliminating barriers to jobs for loan originators
Sec. 556Eliminating barriers to jobs for loan originators
Sec. 556Eliminating barriers to jobs for loan originators
Sec. 561Small business loan data collection requirement
Sec. 561Small business loan data collection requirement
Sec. 561Small business loan data collection requirement
Sec. 566Short form call report
Sec. 566Short form call report
Sec. 566Short form call report
Sec. 571Study regarding privacy of information collected under the Home Mortgage Disclosure Act of 1975
Sec. 571Study regarding privacy of information collected under the Home Mortgage Disclosure Act of 1975
Sec. 571Study regarding privacy of information collected under the Home Mortgage Disclosure Act of 1975
Sec. 576Depository institutions subject to maintenance of records and disclosure requirements
Sec. 576Depository institutions subject to maintenance of records and disclosure requirements
Sec. 576Depository institutions subject to maintenance of records and disclosure requirements
Sec. 581Rate of interest after transfer of loan
Sec. 581Rate of interest after transfer of loan
Sec. 581Rate of interest after transfer of loan
Sec. 586Fund transparency
Sec. 586Fund transparency
Sec. 586Fund transparency
Sec. 591Clarification of donated services to non-profits
Sec. 591Clarification of donated services to non-profits
Sec. 596Sense of Congress related to protection of consumer information by consumer reporting agencies
Sec. 597Treasury report on legitimate financial transactions
Sec. 598Dividend waiver authority for mutual holding companies
Sec. 601Capital election
Sec. 601Capital election
Sec. 601Capital election
Sec. 602Regulatory relief
Sec. 602Regulatory relief
Sec. 602Regulatory relief
Sec. 603Contingent capital study
Sec. 603Contingent capital study
Sec. 603Contingent capital study
Sec. 604Study on altering the current prompt corrective action rules
Sec. 604Study on altering the current prompt corrective action rules
Sec. 604Study on altering the current prompt corrective action rules
Sec. 605Definitions
Sec. 605Definitions
Sec. 605Definitions
Sec. 711Consumer Law Enforcement Agency
Sec. 711Consumer Law Enforcement Agency
Sec. 711Consumer Law Enforcement Agency
Sec. 712Authority of the Office of Information and Regulatory Affairs
Sec. 712Bringing the Agency into the regular appropriations process
Sec. 712Authority of the Office of Information and Regulatory Affairs
Sec. 713Bringing the Agency into the regular appropriations process
Sec. 713Consumer Law Enforcement Agency Inspector General Reform
Sec. 713Bringing the Agency into the regular appropriations process
Sec. 714Consumer Law Enforcement Agency Inspector General Reform
Sec. 714Private parties authorized to compel the Agency to seek sanctions by filing civil actions; Adjudications deemed actions
Sec. 714Consumer Law Enforcement Agency Inspector General Reform
Sec. 715Private parties authorized to compel the Agency to seek sanctions by filing civil actions; Adjudications deemed actions
Sec. 715Civil investigative demands to be appealed to courts
Sec. 715Private parties authorized to compel the Agency to seek sanctions by filing civil actions; Adjudications deemed actions
Sec. 716Civil investigative demands to be appealed to courts
Sec. 716Agency dual mandate and economic analysis
Sec. 716Civil investigative demands to be appealed to courts
Sec. 717Agency dual mandate and economic analysis
Sec. 717No deference to Agency interpretation
Sec. 717Agency dual mandate and economic analysis
Sec. 718No deference to Agency interpretation
Sec. 718No deference to Agency interpretation
Sec. 721Advisory opinions
Sec. 721Advisory opinions
Sec. 721Advisory opinions
Sec. 722Reform of Consumer Financial Civil Penalty Fund
Sec. 722Reform of Consumer Financial Civil Penalty Fund
Sec. 722Reform of Consumer Financial Civil Penalty Fund
Sec. 723Agency pay fairness
Sec. 723Agency pay fairness
Sec. 723Agency pay fairness
Sec. 724Elimination of market monitoring functions
Sec. 724Elimination of market monitoring functions
Sec. 724Elimination of market monitoring functions
Sec. 725Reforms to mandatory functional units
Sec. 725Reforms to mandatory functional units
Sec. 725Reforms to mandatory functional units
Sec. 726Repeal of mandatory advisory board
Sec. 726Repeal of mandatory advisory board
Sec. 726Repeal of mandatory advisory board
Sec. 727Elimination of supervision authority
Sec. 727Elimination of supervision authority
Sec. 727Elimination of supervision authority
Sec. 728Transfer of old OTS building from OCC to GSA
Sec. 728Transfer of old OTS building from OCC to GSA
Sec. 728Transfer of old OTS building from OCC to GSA
Sec. 729Limitation on Agency authority
Sec. 729Limitation on Agency authority
Sec. 729Limitation on Agency authority
Sec. 731Consumer right to financial privacy
Sec. 731Consumer right to financial privacy
Sec. 731Consumer right to financial privacy
Sec. 732Repeal of Council authority to set aside Agency rules and requirement of safety and soundness considerations when issuing rules
Sec. 732Repeal of Council authority to set aside Agency rules and requirement of safety and soundness considerations when issuing rules
Sec. 732Repeal of Council authority to set aside Agency rules and requirement of safety and soundness considerations when issuing rules
Sec. 733Removal of authority to regulate small-dollar credit
Sec. 733Removal of authority to regulate small-dollar credit
Sec. 733Removal of authority to regulate small-dollar credit
Sec. 734Reforming indirect auto financing guidance
Sec. 734Reforming indirect auto financing guidance
Sec. 734Reforming indirect auto financing guidance
Sec. 735Prohibition of Government price controls for payment card transactions
Sec. 735Removal of Agency UDAAP authority
Sec. 735Prohibition of Government price controls for payment card transactions
Sec. 736Removal of Agency UDAAP authority
Sec. 736Preservation of UDAP authority for Federal banking regulators
Sec. 736Removal of Agency UDAAP authority
Sec. 737Preservation of UDAP authority for Federal banking regulators
Sec. 737Repeal of authority to restrict arbitration
Sec. 737Preservation of UDAP authority for Federal banking regulators
Sec. 738Repeal of authority to restrict arbitration
Sec. 738Repeal of authority to restrict arbitration
Sec. 801Authorization of appropriations
Sec. 801Authorization of appropriations
Sec. 801Authorization of appropriations
Sec. 802Report on unobligated appropriations
Sec. 802Report on unobligated appropriations
Sec. 802Report on unobligated appropriations
Sec. 803SEC Reserve Fund abolished
Sec. 803SEC Reserve Fund abolished
Sec. 803SEC Reserve Fund abolished
Sec. 804Fees to offset appropriations
Sec. 804Fees to offset appropriations
Sec. 804Fees to offset appropriations
Sec. 805Commission relocation funding prohibition
Sec. 805Commission Federal construction funding prohibition
Sec. 805Commission relocation funding prohibition
Sec. 806Implementation of recommendations
Sec. 806Implementation of recommendations
Sec. 806Implementation of recommendations
Sec. 807Office of Credit Ratings to report to the Division of Trading and Markets
Sec. 807Office of Credit Ratings to report to the Division of Trading and Markets
Sec. 807Office of Credit Ratings to report to the Division of Trading and Markets
Sec. 808Office of Municipal Securities to report to the Division of Trading and Markets
Sec. 808Office of Municipal Securities to report to the Division of Trading and Markets
Sec. 808Office of Municipal Securities to report to the Division of Trading and Markets
Sec. 809Independence of Commission Ombudsman
Sec. 809Independence of Commission Ombudsman
Sec. 809Independence of Commission Ombudsman
Sec. 810Investor Advisory Committee improvements
Sec. 810Investor Advisory Committee improvements
Sec. 810Investor Advisory Committee improvements
Sec. 811Duties of Investor Advocate
Sec. 811Duties of Investor Advocate
Sec. 811Duties of Investor Advocate
Sec. 812Elimination of exemption of Small Business Capital Formation Advisory Committee from Federal Advisory Committee Act
Sec. 812Elimination of exemption of Small Business Capital Formation Advisory Committee from Federal Advisory Committee Act
Sec. 812Elimination of exemption of Small Business Capital Formation Advisory Committee from Federal Advisory Committee Act
Sec. 813Internal risk controls
Sec. 813Internal risk controls
Sec. 813Internal risk controls
Sec. 814Applicability of notice and comment requirements of the Administrative Procedure Act to guidance voted on by the Commission
Sec. 814Applicability of notice and comment requirements of the Administrative Procedure Act to guidance voted on by the Commission
Sec. 814Applicability of notice and comment requirements of the Administrative Procedure Act to guidance voted on by the Commission
Sec. 815Limitation on pilot programs
Sec. 815Limitation on pilot programs
Sec. 815Limitation on pilot programs
Sec. 816Procedure for obtaining certain intellectual property
Sec. 816Procedure for obtaining certain intellectual property
Sec. 816Procedure for obtaining certain intellectual property
Sec. 817Process for closing investigations
Sec. 817Process for closing investigations
Sec. 817Process for closing investigations
Sec. 818Enforcement Ombudsman
Sec. 818Enforcement Ombudsman
Sec. 818Enforcement Ombudsman
Sec. 819Adequate notice
Sec. 819Adequate notice
Sec. 819Adequate notice
Sec. 820Advisory committee on Commission’s enforcement policies and practices
Sec. 820Advisory committee on Commission’s enforcement policies and practices
Sec. 820Advisory committee on Commission’s enforcement policies and practices
Sec. 821Process to permit recipient of Wells notification to appear before Commission staff in-person
Sec. 821Process to permit recipient of Wells notification to appear before Commission staff in-person
Sec. 821Process to permit recipient of Wells notification to appear before Commission staff in-person
Sec. 822Publication of enforcement manual
Sec. 822Publication of enforcement manual
Sec. 822Publication of enforcement manual
Sec. 823Private parties authorized to compel the Securities and Exchange Commission to seek sanctions by filing civil actions
Sec. 823Private parties authorized to compel the Securities and Exchange Commission to seek sanctions by filing civil actions
Sec. 823Private parties authorized to compel the Securities and Exchange Commission to seek sanctions by filing civil actions
Sec. 824Certain findings required to approve civil money penalties against issuers
Sec. 824Certain findings required to approve civil money penalties against issuers
Sec. 824Certain findings required to approve civil money penalties against issuers
Sec. 825Repeal of authority of the Commission to prohibit persons from serving as officers or directors
Sec. 825Repeal of authority of the Commission to prohibit persons from serving as officers or directors
Sec. 825Repeal of authority of the Commission to prohibit persons from serving as officers or directors
Sec. 826Subpoena duration and renewal
Sec. 826Subpoena duration and renewal
Sec. 826Subpoena duration and renewal
Sec. 827Elimination of automatic disqualifications
Sec. 827Elimination of automatic disqualifications
Sec. 827Elimination of automatic disqualifications
Sec. 828Denial of award to culpable whistleblowers
Sec. 828Denial of award to culpable whistleblowers
Sec. 828Denial of award to culpable whistleblowers
Sec. 829Confidentiality of records obtained from foreign securities and law enforcement authorities
Sec. 829Clarification of authority to impose sanctions on persons associated with a broker or dealer
Sec. 829Confidentiality of records obtained from foreign securities and law enforcement authorities
Sec. 830Clarification of authority to impose sanctions on persons associated with a broker or dealer
Sec. 830Complaint and burden of proof requirements for certain actions for breach of fiduciary duty
Sec. 830Clarification of authority to impose sanctions on persons associated with a broker or dealer
Sec. 831Complaint and burden of proof requirements for certain actions for breach of fiduciary duty
Sec. 831Congressional access to information held by the Public Company Accounting Oversight Board
Sec. 831Complaint and burden of proof requirements for certain actions for breach of fiduciary duty
Sec. 832Congressional access to information held by the Public Company Accounting Oversight Board
Sec. 832Abolishing Investor Advisory Group
Sec. 832Congressional access to information held by the Public Company Accounting Oversight Board
Sec. 833Abolishing Investor Advisory Group
Sec. 833Repeal of requirement for Public Company Accounting Oversight Board to use certain funds for merit scholarship program
Sec. 833Abolishing Investor Advisory Group
Sec. 834Repeal of requirement for Public Company Accounting Oversight Board to use certain funds for merit scholarship program
Sec. 834Reallocation of fines for violations of rules of municipal securities rulemaking board
Sec. 834Repeal of requirement for Public Company Accounting Oversight Board to use certain funds for merit scholarship program
Sec. 835Reallocation of fines for violations of rules of municipal securities rulemaking board
Sec. 835Reallocation of fines for violations of rules of municipal securities rulemaking board
Sec. 841Repeal of Department of Labor fiduciary rule and requirements prior to rulemaking relating to standards of conduct for brokers and dealers
Sec. 841Repeal of Department of Labor fiduciary rule and requirements prior to rulemaking relating to standards of conduct for brokers and dealers
Sec. 841Repeal of Department of Labor fiduciary rule and requirements prior to rulemaking relating to standards of conduct for brokers and dealers
Sec. 842Exemption from risk retention requirements for nonresidential mortgage
Sec. 842Exemption from risk retention requirements for nonresidential mortgage
Sec. 842Exemption from risk retention requirements for nonresidential mortgage
Sec. 843Frequency of shareholder approval of executive compensation
Sec. 843Frequency of shareholder approval of executive compensation
Sec. 843Frequency of shareholder approval of executive compensation
Sec. 844Shareholder Proposals
Sec. 844Shareholder Proposals
Sec. 844Shareholder Proposals
Sec. 845Prohibition on requiring a single ballot
Sec. 845Prohibition on requiring a single ballot
Sec. 845Prohibition on requiring a single ballot
Sec. 846Requirement for municipal advisor for issuers of municipal securities
Sec. 846Requirement for municipal advisor for issuers of municipal securities
Sec. 846Requirement for municipal advisor for issuers of municipal securities
Sec. 847Small issuer exemption from internal control evaluation
Sec. 847Small issuer exemption from internal control evaluation
Sec. 847Small issuer exemption from internal control evaluation
Sec. 848Streamlining of applications for an exemption from the Investment Company Act of 1940
Sec. 848Streamlining of applications for an exemption from the Investment Company Act of 1940
Sec. 848Streamlining of applications for an exemption from the Investment Company Act of 1940
Sec. 849Restriction on recovery of erroneously awarded compensation
Sec. 849Restriction on recovery of erroneously awarded compensation
Sec. 849Restriction on recovery of erroneously awarded compensation
Sec. 850Exemptive authority for certain provisions relating to registration of nationally recognized statistical rating organizations
Sec. 850Exemptive authority for certain provisions relating to registration of nationally recognized statistical rating organizations
Sec. 850Exemptive authority for certain provisions relating to registration of nationally recognized statistical rating organizations
Sec. 851Risk-based examinations of Nationally Recognized Statistical Rating Organizations
Sec. 851Risk-based examinations of Nationally Recognized Statistical Rating Organizations
Sec. 851Risk-based examinations of Nationally Recognized Statistical Rating Organizations
Sec. 852Transparency of credit rating methodologies
Sec. 852Transparency of credit rating methodologies
Sec. 852Transparency of credit rating methodologies
Sec. 853Repeal of certain attestation requirements relating to credit ratings
Sec. 853Repeal of certain attestation requirements relating to credit ratings
Sec. 853Repeal of certain attestation requirements relating to credit ratings
Sec. 854Look-back review by NRSRO
Sec. 854Look-back review by NRSRO
Sec. 854Look-back review by NRSRO
Sec. 855Approval of credit rating procedures and methodologies
Sec. 855Approval of credit rating procedures and methodologies
Sec. 855Approval of credit rating procedures and methodologies
Sec. 856Exception for providing certain material information relating to a credit rating
Sec. 856Exception for providing certain material information relating to a credit rating
Sec. 856Exception for providing certain material information relating to a credit rating
Sec. 857Repeals
Sec. 857Repeals
Sec. 857Repeals
Sec. 858Exemption of and reporting by private equity fund advisers
Sec. 858Exemption of and reporting by private equity fund advisers
Sec. 858Exemption of and reporting by private equity fund advisers
Sec. 859Records and reports of private funds
Sec. 859Records and reports of private funds
Sec. 859Records and reports of private funds
Sec. 860Definition of accredited investor
Sec. 860Definition of accredited investor
Sec. 860Definition of accredited investor
Sec. 861Repeal of certain provisions requiring a study and report to Congress
Sec. 861Repeal of certain provisions requiring a study and report to Congress
Sec. 861Repeal of certain provisions requiring a study and report to Congress
Sec. 862Repeal
Sec. 862Repeal
Sec. 862Repeal
Sec. 871Commissions review and harmonization of rules relating to the regulation of over-the-counter swaps markets
Sec. 871Commissions review and harmonization of rules relating to the regulation of over-the-counter swaps markets
Sec. 871Commissions review and harmonization of rules relating to the regulation of over-the-counter swaps markets
Sec. 872Treatment of transactions between affiliates
Sec. 872Treatment of transactions between affiliates
Sec. 872Treatment of transactions between affiliates
Sec. 901Repeals
Sec. 901Repeals
Sec. 901Repeals
Sec. 1001Requirements for policy rules of the Federal Open Market Committee
Sec. 1001Requirements for policy rules of the Federal Open Market Committee
Sec. 1001Requirements for policy rules of the Federal Open Market Committee
Sec. 1002Federal Open Market Committee blackout period
Sec. 1002Federal Open Market Committee blackout period
Sec. 1002Federal Open Market Committee blackout period
Sec. 1003Public transcripts of FOMC meetings
Sec. 1003Public transcripts of FOMC meetings
Sec. 1003Public transcripts of FOMC meetings
Sec. 1004Membership of Federal Open Market Committee
Sec. 1004Membership of Federal Open Market Committee
Sec. 1004Membership of Federal Open Market Committee
Sec. 1005Frequency of testimony of the Chairman of the Board of Governors of the Federal Reserve System to Congress
Sec. 1005Frequency of testimony of the Chairman of the Board of Governors of the Federal Reserve System to Congress
Sec. 1005Frequency of testimony of the Chairman of the Board of Governors of the Federal Reserve System to Congress
Sec. 1006Vice Chairman for Supervision report requirement
Sec. 1006Vice Chairman for Supervision report requirement
Sec. 1006Vice Chairman for Supervision report requirement
Sec. 1007Salaries, financial disclosures, and office staff of the Board of Governors of the Federal Reserve System
Sec. 1007Salaries, financial disclosures, and office staff of the Board of Governors of the Federal Reserve System
Sec. 1007Salaries, financial disclosures, and office staff of the Board of Governors of the Federal Reserve System
Sec. 1008Amendments to powers of the Board of Governors of the Federal Reserve System
Sec. 1008Amendments to powers of the Board of Governors of the Federal Reserve System
Sec. 1008Amendments to powers of the Board of Governors of the Federal Reserve System
Sec. 1009Interest rates on balances maintained at a Federal Reserve bank by depository institutions established by Federal Open Market Committee
Sec. 1009Interest rates on balances maintained at a Federal Reserve bank by depository institutions established by Federal Open Market Committee
Sec. 1009Interest rates on balances maintained at a Federal Reserve bank by depository institutions established by Federal Open Market Committee
Sec. 1010Audit reform and transparency for the Board of Governors of the Federal Reserve System
Sec. 1010Audit reform and transparency for the Board of Governors of the Federal Reserve System
Sec. 1010Audit reform and transparency for the Board of Governors of the Federal Reserve System
Sec. 1011Establishment of a Centennial Monetary Commission
Sec. 1011Establishment of a Centennial Monetary Commission
Sec. 1011Establishment of a Centennial Monetary Commission
Sec. 1101Repeal of the Federal Insurance Office; Creation of the Office of the Independent Insurance Advocate
Sec. 1101Repeal of the Federal Insurance Office; Creation of the Office of the Independent Insurance Advocate
Sec. 1101Repeal of the Federal Insurance Office; Creation of the Office of the Independent Insurance Advocate
Sec. 1102Treatment of covered agreements
Sec. 1102Treatment of covered agreements
Sec. 1102Treatment of covered agreements
Sec. 1201Table of contents; Definitional corrections
Sec. 1201Table of contents; Definitional corrections
Sec. 1201Table of contents; Definitional corrections
Sec. 1202Antitrust savings clause corrections
Sec. 1202Antitrust savings clause corrections
Sec. 1202Antitrust savings clause corrections
Sec. 1203Title I corrections
Sec. 1203Title I corrections
Sec. 1203Title I corrections
Sec. 1204Title III corrections
Sec. 1204Title III corrections
Sec. 1204Title III corrections
Sec. 1205Title IV correction
Sec. 1205Title IV correction
Sec. 1205Title IV correction
Sec. 1206Title VI corrections
Sec. 1206Title VI corrections
Sec. 1206Title VI corrections
Sec. 1207Title VII corrections
Sec. 1207Title VII corrections
Sec. 1207Title VII corrections
Sec. 1208Title IX corrections
Sec. 1208Title IX corrections
Sec. 1208Title IX corrections
Sec. 1209Title X corrections
Sec. 1209Title X corrections
Sec. 1209Title X corrections
Sec. 1210Title XII correction
Sec. 1210Title XII correction
Sec. 1210Title XII correction
Sec. 1211Title XIV correction
Sec. 1211Title XIV correction
Sec. 1211Title XIV correction
Sec. 1212Technical corrections to other statutes
Sec. 1212Technical corrections to other statutes
Sec. 1212Technical corrections to other statutes