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{title: 'THOMAS - Bill Text - h3817.ih', link: 'http://thomas.loc.gov/cgi-bin/query/z?c111:h3817.ih:' }


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Congressional Record References

Bill Summary & Status

H.R.3817

Investor Protection Act of 2009. (Introduced in House)
Beginning
 October 15, 2009
    SECTION 1. SHORT TITLE.
    Sec. 1. Short title.
    Sec. 2. Table of contents.
 TITLE I--DISCLOSURE
    SEC. 101. INVESTOR ADVISORY COMMITTEE ESTABLISHED.
    `SEC. 4D. INVESTOR ADVISORY COMMITTEE.
    SEC. 102. CLARIFICATION OF THE COMMISSION'S AUTHORITY TO ENGAGE IN CONSUMER TESTING.
    SEC. 103. ESTABLISHMENT OF A FIDUCIARY DUTY FOR BROKERS, DEALERS, AND INVESTMENT ADVISERS, AND HARMONIZATION OF REGULATION.
    SEC. 104. CLARIFICATION OF COMMISSION AUTHORITY TO REQUIRE INVESTOR DISCLOSURES BEFORE PURCHASE OF INVESTMENT COMPANY SHARES.
    SEC. 105. BENEFICIAL OWNERSHIP AND SHORT-SWING PROFIT REPORTING.
    SEC. 106. REVISION TO RECORDKEEPING RULES.
 TITLE II--ENFORCEMENT AND REMEDIES
    SEC. 201. AUTHORITY TO RESTRICT MANDATORY PRE-DISPUTE ARBITRATION.
    SEC. 202. WHISTLEBLOWER PROTECTION.
    `SEC. 21F. SECURITIES WHISTLEBLOWER INCENTIVES AND PROTECTION.
    SEC. 203. CONFORMING AMENDMENTS FOR WHISTLEBLOWER PROTECTION.
    SEC. 204. IMPLEMENTATION AND TRANSITION PROVISIONS FOR WHISTLEBLOWER PROTECTIONS.
    SEC. 205. COLLATERAL BARS.
    SEC. 206. AIDING AND ABETTING AUTHORITY UNDER THE SECURITIES ACT AND THE INVESTMENT COMPANY ACT.
    SEC. 207. AUTHORITY TO IMPOSE PENALTIES FOR AIDING AND ABETTING VIOLATIONS OF THE INVESTMENT ADVISERS ACT.
    SEC. 208. DEADLINE FOR COMPLETING EXAMINATIONS, INSPECTIONS AND ENFORCEMENT ACTIONS.
    `SEC. 4E. DEADLINE FOR COMPLETING EXAMINATIONS, INVESTIGATIONS AND ENFORCEMENT ACTIONS.
    SEC. 209. NATIONWIDE SERVICE OF SUBPOENAS.
    SEC. 210. AUTHORITY TO IMPOSE CIVIL PENALTIES IN CEASE AND DESIST PROCEEDINGS.
    SEC. 211. FORMERLY ASSOCIATED PERSONS.
    SEC. 212. SHARING PRIVILEGED INFORMATION WITH OTHER AUTHORITIES.
    SEC. 213. EXPANDED ACCESS TO GRAND JURY MATERIAL.
    `SEC. 605. ACCESS TO GRAND JURY INFORMATION.
    SEC. 214. AIDING AND ABETTING STANDARD OF KNOWLEDGE SATISFIED BY RECKLESSNESS.
    SEC. 215. EXTRATERRITORIAL JURISDICTION OF THE ANTIFRAUD PROVISIONS OF THE FEDERAL SECURITIES LAWS.
    SEC. 216. FIDELITY BONDING.
    SEC. 217. ENHANCED SEC AUTHORITY TO CONDUCT SURVEILLANCE AND RISK ASSESSMENT.
    SEC. 218. INVESTMENT COMPANY EXAMINATIONS.
    SEC. 219. CONTROL PERSON LIABILITY UNDER THE SECURITIES EXCHANGE ACT.
    SEC. 220. ENHANCED APPLICATION OF ANTI-FRAUD PROVISIONS.
 TITLE III--COMMISSION FUNDING AND ORGANIZATION
    SEC. 301. AUTHORIZATION OF APPROPRIATIONS.
    `SEC. 35. AUTHORIZATION OF APPROPRIATIONS.
    SEC. 302. INVESTMENT ADVISER REGULATION FUNDING.
    SEC. 303. AMENDMENTS TO SECTION 31 OF THE SECURITIES EXCHANGE ACT OF 1934.
    SEC. 304. COMMISSION ORGANIZATIONAL STUDY AND REFORM.
 TITLE IV--ADDITIONAL COMMISSION REFORMS
    SEC. 401. REGULATION OF SECURITIES LENDING.
    SEC. 402. LOST AND STOLEN SECURITIES.
    SEC. 403. FINGERPRINTING.
    SEC. 404. EQUAL TREATMENT OF SELF-REGULATORY ORGANIZATION RULES.
    SEC. 405. CLARIFICATION THAT SECTION 205 OF THE INVESTMENT ADVISERS ACT OF 1940 DOES NOT APPLY TO STATE-REGISTERED ADVISERS.
    SEC. 406. CONFORMING AMENDMENTS FOR THE REPEAL OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935.
    SEC. 407. PROMOTING TRANSPARENCY IN FINANCIAL REPORTING.
    SEC. 408. UNLAWFUL MARGIN LENDING.
    SEC. 409. PROTECTING CONFIDENTIALITY OF MATERIALS SUBMITTED TO THE COMMISSION.
    SEC. 410. TECHNICAL CORRECTIONS.
    SEC. 411. MUNICIPAL SECURITIES.
    SEC. 412. INTERESTED PERSON DEFINITION.
    SEC. 413. RULEMAKING AUTHORITY TO PROTECT REDEEMING INVESTORS.
 TITLE V--SECURITIES INVESTOR PROTECTION ACT AMENDMENTS
    SEC. 501. INCREASING THE MINIMUM ASSESSMENT PAID BY SIPC MEMBERS.
    SEC. 502. INCREASING THE BORROWING LIMIT ON TREASURY LOANS.
    SEC. 503. INCREASING THE CASH LIMIT OF PROTECTION.
    SEC. 504. SIPC AS TRUSTEE IN SIPA LIQUIDATION PROCEEDINGS.
    SEC. 505. INSIDERS INELIGIBLE FOR SIPC ADVANCES.
    SEC. 506. ELIGIBILITY FOR DIRECT PAYMENT PROCEDURE.
    SEC. 507. INCREASING THE FINE FOR PROHIBITED ACTS UNDER SIPA.
    SEC. 508. PENALTY FOR MISREPRESENTATION OF SIPC MEMBERSHIP OR PROTECTION.
    SEC. 509. LIMITATIONS ON CUSTOMER STATUS.
    SEC. 510. FUTURES HELD IN A PORTFOLIO MARGIN SECURITIES ACCOUNT PROTECTION.
    SEC. 511. RISK-BASED PREMIUMS.
    SEC. 512. BUDGETARY TREATMENT OF COMMISSION LOANS TO SIPC.
 TITLE VI--SARBANES-OXLEY ACT AMENDMENTS
    SEC. 601. PUBLIC COMPANY ACCOUNTING OVERSIGHT BOARD OVERSIGHT OF AUDITORS OF NON-PUBLIC BROKERS AND DEALERS.
    `SEC. 110. DEFINITIONS.
    SEC. 602. FOREIGN REGULATORY INFORMATION SHARING.
    SEC. 603. EXPANSION OF AUDIT INFORMATION TO BE PRODUCED AND EXCHANGED WITH FOREIGN COUNTERPARTS.
    SEC. 604. FAIR FUND AMENDMENTS.
    SEC. 605. WHISTLEBLOWER PROTECTION AGAINST RETALIATION BY A SUBSIDIARY OF AN ISSUER.
 
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