H.R. 2623 · 111th Congress
To amend the Federal securities laws to clarify and expand the definition of certain persons under those laws.
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Passed the House without a recorded vote, then expired. It passed by voice vote or unanimous consent, which don't record how each member voted, but didn't become law before the 111th Congress ended.
R
McCarthySponsorNo cosponsors.
- House Introduced May 21, 2009
- House Passed Jul 29, 2009
Amends the Securities Exchange Act of 1934 to authorize the Securities and Exchange Commission (SEC) to censure, place limitations on the activities or functions of, or investigate any person who at the time of specified alleged misconduct was: (1) a member or employee of the Municipal Securities Rulemaking Board; (2) a person associated with or seeking to…
What it does: CRS summary · Passed House without amendment · Jul 29, 2009
(This measure has not been amended since it was introduced. The summary of that version is repeated here.)
Amends the Securities Exchange Act of 1934 to authorize the Securities and Exchange Commission (SEC) to censure, place limitations on the activities or functions of, or investigate any person who at the time of specified alleged misconduct was: (1) a member or employee of the Municipal Securities Rulemaking Board; (2) a person associated with or seeking to become associated with a government securities broker or dealer; (3) a person associated with a member of a national securities exchange or registered securities association; (4) a participant of a registered clearing agency; (5) an officer or director of a self-regulatory organization; and (6) an officer or director of an investment company.
Written by the nonpartisan Congressional Research Service. All summary versions on Congress.gov
About this bill and sources
Official title: To amend the Federal securities laws to clarify and expand the definition of certain persons under those laws.
Latest action (Jul 30, 2009): Received in the Senate and Read twice and referred to the Committee on Banking, Housing, and Urban Affairs.
Policy area: Finance and Financial Sector · Origin: House · Introduced: May 21, 2009
Official page on Congress.gov · Bill text (GovInfo) · Status record (XML)
- House Introduced May 21, 2009
- House Passed Jul 29, 2009
No recorded floor vote found.