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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

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Status

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

Sponsors

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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.

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Documents

11 official files

Referred in Senate (text)

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