Hearing: SEC Enforcement: Balancing Deterrence with Due Process

Subcommittee on Capital Markets (Committee on Financial Services)

2128 RHOB
Washington, D.C.

Witnesses

Text of Legislation

• H.R. 6695, the "Due Process Restoration Act of 2023, to authorize private parties to compel the Securities and Exchange Commission to seek sanctions by filing civil actions, and for other purposes" [PDF] Added 05/01/2024 at 11:54 AM
• H.R. ____, to clarify what constitutes a violation of the federal securities laws for purposes of determining penalty amounts [PDF] Added 05/01/2024 at 11:54 AM
• H.R. ____, to clarify the Securities and Exchange Act of 1934 with respect to civil money penalties and the authority to seek disgorgement [PDF] Added 05/01/2024 at 11:54 AM
• H.R. ____, to repeal the policy of the Securities and Exchange Commission set forth in 17 C.F.R. § 202.5(e) [PDF] Added 05/01/2024 at 11:54 AM
• H.R. ____, to clarify that, like with actions brought under the Securities Exchange Act of 1934, certain actions filed under the Securities Act of 1933 are required to be heard in federal court [PDF] Added 05/01/2024 at 11:54 AM
• H.R. ____, to codify the process to obtain waivers from certain disqualifications under the federal securities laws [PDF] Added 05/01/2024 at 11:54 AM
• H.J.Res. ____, providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Securities and Exchange Commission relating to “Reporting of Securities Loans.” [PDF] Added 05/01/2024 at 11:54 AM
• H.J.Res. ____, providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Securities and Exchange Commission relating to “Short Position and Short Activity Reporting by Institutional Investment Managers.” [PDF] Added 05/01/2024 at 11:54 AM
• H.J.Res. ____, providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Securities and Exchange Commission relating to “Further Definition of ‘As a Part of a Regular Business’ in the Definition of Dealer and Government Securities Dealer in Connection With Certain Liquidity Providers.” [PDF] Added 05/01/2024 at 11:54 AM
• H.J.Res. ____, providing for congressional disapproval under chapter 8 of title 5, United States Code, of the rule submitted by the Securities and Exchange Commission relating to “Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers.” [PDF] Added 05/01/2024 at 11:54 AM

Support Documents

• Notice [PDF]
• Memorandum [PDF] Added 05/01/2024 at 11:54 AM

First Published: April 30, 2024 at 02:56 PM
Last Updated: May 6, 2024 at 12:18 PM