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United States · Bill · HR

H.R. 2623 (111th)

To amend the Federal securities laws to clarify and expand the definition of certain persons under those laws.

referredUnited States· United States Congress· EN

Introduced

21 May 2009

Last action

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Status

Received in the Senate and Read twice and referred to the Committee on Banking, Housing, and Urban Affairs.

Sponsors

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Subjects

Discovery layer

Source updated

14 January 2025

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Summary

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 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.

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Documents

8 official files

Referred in Senate (text)

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