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United States · Bill · HR

H.R. 4015 (115th)

Corporate Governance Reform and Transparency Act of 2017

openUnited States· United States Congress· EN

Introduced

11 October 2017

Last action

6 December 2018 · Committee

Status

Committee on Banking, Housing, and Urban Affairs. Hearings held. Hearings printed: S.Hrg. 115-455.

Sponsors

Rep. Duffy, Sean P. [R-WI-7], Rep. Smith, Lamar [R-TX-21], Rep. Meeks, Gregory W. [D-NY-5]

Subjects

Discovery layer

Source updated

7 April 2025

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Summary

Corporate Governance Reform and Transparency Act of 2017 This bill amends the Securities Exchange Act of 1934 to: (1) require a proxy advisory firm to register with the Securities and Exchange Commission (SEC); and (2) prohibit an unregistered proxy advisory firm from using interstate commerce to provide proxy-voting research, analysis, or recommendations to any client. With respect to such firms, the bill: (1) establishes procedures for both registration and termination of registration; (2) requires each firm to employ an ombudsman, designate a compliance officer, and file specified documents with the SEC; and (3) prohibits unfair, coercive, or abusive practices. The SEC shall report annually on its website regarding registration applications and related matters.

This text is taken from the official record. PoliticalRepo does not editorialize.

Timeline

  1. 11 October 2017

    Introduced

    Referred to the House Committee on Financial Services.

    Source: IntroReferral

  2. 11 October 2017

    Introduced

    Introduced in House

    Source: IntroReferral

  3. 11 October 2017

    Introduced

    Introduced in House

    Source: IntroReferral

  4. 15 November 2017

    Vote

    Ordered to be Reported by the Yeas and Nays: 40 - 20.

    Source: Committee

  5. 15 November 2017

    Committee

    Committee Consideration and Mark-up Session Held.

    Source: Committee

  6. 7 December 2017

    Calendars

    Placed on the Union Calendar, Calendar No. 333.

    Source: Calendars

  7. 7 December 2017

    Reported

    Reported by the Committee on Financial Services. H. Rept. 115-451.

    Source: Committee

  8. 7 December 2017

    Reported

    Reported by the Committee on Financial Services. H. Rept. 115-451.

    Source: Committee

  9. 12 December 2017

    Reported

    Rules Committee Resolution H. Res. 657 Reported to House. Previous question shall be considered as ordered without intervening motions except motion to recommit with or without instructions. Rule provides for one hour of general debate for each bill. The amendment in the nature of a substitute printed in H.R. 2396 shall be considered as adopted. The rule also makes in order the amendment printed in the report. An amendment in the nature of a substitute to H.R. 4015 consisting of Rules Committee Print 115-46, shall be considered as adopted.

    Source: Floor

  10. 13 December 2017

    Passed

    Rule H. Res. 657 passed House.

    Source: Floor

  11. 20 December 2017

    Floor

    The previous question was ordered pursuant to the rule.

    Source: Floor

  12. 20 December 2017

    Passed

    Motion to reconsider laid on the table Agreed to without objection.

    Source: Floor

  13. 20 December 2017

    Vote

    On passage Passed by the Yeas and Nays: 238 - 182 (Roll no. 702). (text: CR H10313-10315)

    Source: Floor

  14. 20 December 2017

    Vote

    Passed/agreed to in House: On passage Passed by the Yeas and Nays: 238 - 182 (Roll no. 702).(text: CR H10313-10315)

    Source: Floor

  15. 20 December 2017

    Vote

    On motion to recommit with instructions Failed by the Yeas and Nays: 189 - 231 (Roll no. 701).

    Source: Floor

  16. 20 December 2017

    Floor

    The previous question on the motion to recommit with instructions was ordered without objection.

    Source: Floor

  17. 20 December 2017

    Floor

    Mr. Sarbanes moved to recommit with instructions to the Committee on Financial Services. (text: CR H10328)

    Source: Floor

  18. 20 December 2017

    Floor

    Previous question shall be considered as ordered without intervening motions except motion to recommit with or without instructions. Rule provides for one hour of general debate for each bill. The amendment in the nature of a substitute printed in H.R. 2396 shall be considered as adopted. The rule also makes in order the amendment printed in the report. An amendment in the nature of a substitute to H.R. 4015 consisting of Rules Committee Print 115-46, shall be considered as adopted.

    Source: Floor

  19. 20 December 2017

    Floor

    Considered under the provisions of rule H. Res. 657. (consideration: CR H10313-10330)

    Source: Floor

  20. 21 December 2017

    Introduced

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

    Source: IntroReferral

  21. 28 June 2018

    Committee

    Committee on Banking, Housing, and Urban Affairs. Hearings held. Hearings printed: S.Hrg. 115-406.

    Source: Committee

  22. 6 December 2018

    Committee

    Committee on Banking, Housing, and Urban Affairs. Hearings held. Hearings printed: S.Hrg. 115-455.

    Source: Committee

Votes

20 December 2017 · passed · On Passage · Passed · Official source

Yes 238 · No 182 · Abstain — · Absent/not voting 11

Showing the first 4 recorded positions. Vote totals above are complete.

20 December 2017 · failed · On Motion to Recommit with Instructions · Failed · Official source

Yes 189 · No 231 · Abstain — · Absent/not voting 11

Showing the first 4 recorded positions. Vote totals above are complete.

Versions

Documents

11 official files

Referred in Senate (text)

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  • Referred in Senate (text)

    Referred in Senate · EN · 21 December 2017

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  • Referred in Senate (PDF)

    Referred in Senate · EN · 21 December 2017

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  • Engrossed in House (text)

    Engrossed in House · EN · 20 December 2017

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  • Engrossed in House (PDF)

    Engrossed in House · EN · 20 December 2017

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  • Passed House amended

    summary · EN · 20 December 2017

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  • Reported in House (text)

    Reported in House · EN · 7 December 2017

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  • Reported in House (PDF)

    Reported in House · EN · 7 December 2017

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  • Reported to House without amendment

    summary · EN · 7 December 2017

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  • Introduced in House (text)

    Introduced in House · EN · 11 October 2017

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  • Introduced in House (PDF)

    Introduced in House · EN · 11 October 2017

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  • Introduced in House

    summary · EN · 11 October 2017

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Sources

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