Federal (United States) · Session law
Title IX
113 sections
113 sections
- Pub. L. 111-203, tit. IX, subtit. A, sec. 911INVESTOR ADVISORY COMMITTEE ESTABLISHED.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 912CLARIFICATION OF AUTHORITY OF THE COMMISSION TO ENGAGE IN INVESTOR TESTING.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 913STUDY AND RULEMAKING REGARDING OBLIGATIONS OF BROKERS, DEALERS, AND INVESTMENT ADVISERS.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 914STUDY ON ENHANCING INVESTMENT ADVISER EXAMINATIONS.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 915OFFICE OF THE INVESTOR ADVOCATE.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 916STREAMLINING OF FILING PROCEDURES FOR SELF-REGULATORY ORGANIZATIONS.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 917STUDY REGARDING FINANCIAL LITERACY AMONG INVESTORS.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 918STUDY REGARDING MUTUAL FUND ADVERTISING.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 919CLARIFICATION OF COMMISSION AUTHORITY TO REQUIRE INVESTOR DISCLOSURES BEFORE PURCHASE OF INVESTMENT PRODUCTS AND SERVICES.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 919ASTUDY ON CONFLICTS OF INTEREST.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 919BSTUDY ON IMPROVED INVESTOR ACCESS TO INFORMATION ON INVESTMENT ADVISERS AND BROKER-DEALERS.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 919CSTUDY ON FINANCIAL PLANNERS AND THE USE OF FINANCIAL DESIGNATIONS.Enacted
- Pub. L. 111-203, tit. IX, subtit. A, sec. 919DOMBUDSMAN.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 921AUTHORITY TO RESTRICT MANDATORY PRE-DISPUTE ARBITRATION.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 922WHISTLEBLOWER PROTECTION.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 923CONFORMING AMENDMENTS FOR WHISTLEBLOWER PROTECTION.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 924IMPLEMENTATION AND TRANSITION PROVISIONS FOR WHISTLEBLOWER PROTECTION.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 925COLLATERAL BARS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 926DISQUALIFYING FELONS AND OTHER “BAD ACTORS” FROM REGULATION D OFFERINGS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 927EQUAL TREATMENT OF SELF-REGULATORY ORGANIZATION RULES.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 928CLARIFICATION THAT SECTION 205 OF THE INVESTMENT ADVISERS ACT OF 1940 DOES NOT APPLY TO STATE-REGISTERED ADVISERS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929UNLAWFUL MARGIN LENDING.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929APROTECTION FOR EMPLOYEES OF SUBSIDIARIES AND AFFILIATES OF PUBLICLY TRADED COMPANIES.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929BFAIR FUND AMENDMENTS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929CINCREASING THE BORROWING LIMIT ON TREASURY LOANS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929DLOST AND STOLEN SECURITIES.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929ENATIONWIDE SERVICE OF SUBPOENAS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929FFORMERLY ASSOCIATED PERSONS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929GSTREAMLINED HIRING AUTHORITY FOR MARKET SPECIALISTS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929HSIPC REFORMS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929IPROTECTING CONFIDENTIALITY OF MATERIALS SUBMITTED TO THE COMMISSION.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929JEXPANSION OF AUDIT INFORMATION TO BE PRODUCED AND EXCHANGED.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929KSHARING PRIVILEGED INFORMATION WITH OTHER AUTHORITIES.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929LENHANCED APPLICATION OF ANTIFRAUD PROVISIONS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929MAIDING AND ABETTING AUTHORITY UNDER THE SECURITIES ACT AND THE INVESTMENT COMPANY ACT.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929NAUTHORITY TO IMPOSE PENALTIES FOR AIDING AND ABETTING VIOLATIONS OF THE INVESTMENT ADVISERS ACT.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929OAIDING AND ABETTING STANDARD OF KNOWLEDGE SATISFIED BY RECKLESSNESS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929PSTRENGTHENING ENFORCEMENT BY THE COMMISSION.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929QREVISION TO RECORDKEEPING RULE.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929RBENEFICIAL OWNERSHIP AND SHORT-SWING PROFIT REPORTING.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929SFINGERPRINTING.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929TEQUAL TREATMENT OF SELF-REGULATORY ORGANIZATION RULES.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929UDEADLINE FOR COMPLETING EXAMINATIONS, INSPECTIONS AND ENFORCEMENT ACTIONS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929VINVESTOR PROTECTION ACT AMENDMENTS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929WNOTICE TO MISSING SECURITY HOLDERS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929XSHORT SALE REFORMS.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929YSTUDY ON EXTRATERRITORIAL PRIVATE RIGHTS OF ACTION.Enacted
- Pub. L. 111-203, tit. IX, subtit. B, sec. 929ZGAO STUDY ON SECURITIES LITIGATION.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 931FINDINGS.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 932ENHANCED REGULATION, ACCOUNTABILITY, AND TRANSPARENCY OF NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATIONS.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 933STATE OF MIND IN PRIVATE ACTIONS.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 934REFERRING TIPS TO LAW ENFORCEMENT OR REGULATORY AUTHORITIES.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 935CONSIDERATION OF INFORMATION FROM SOURCES OTHER THAN THE ISSUER IN RATING DECISIONS.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 936QUALIFICATION STANDARDS FOR CREDIT RATING ANALYSTS.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 937TIMING OF REGULATIONS.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 938UNIVERSAL RATINGS SYMBOLS.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939REMOVAL OF STATUTORY REFERENCES TO CREDIT RATINGS.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939AREVIEW OF RELIANCE ON RATINGS.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939BELIMINATION OF EXEMPTION FROM FAIR DISCLOSURE RULE.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939CAND EXCHANGE COMMISSION STUDY ON STRENGTHENING CREDIT RATING AGENCY INDEPENDENCE.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939DGOVERNMENT ACCOUNTABILITY OFFICE STUDY ON ALTERNATIVE BUSINESS MODELS.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939EGOVERNMENT ACCOUNTABILITY OFFICE STUDY ON THE CREATION OF AN INDEPENDENT PROFESSIONAL ANALYST ORGANIZATION.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939FSTUDY AND RULEMAKING ON ASSIGNED CREDIT RATINGS.Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939GEFFECT OF RULE 436(G).Enacted
- Pub. L. 111-203, tit. IX, subtit. C, sec. 939HSENSE OF CONGRESS.Enacted
- Pub. L. 111-203, tit. IX, subtit. D, sec. 941REGULATION OF CREDIT RISK RETENTION.Enacted
- Pub. L. 111-203, tit. IX, subtit. D, sec. 942DISCLOSURES AND REPORTING FOR ASSET-BACKED SECURITIES.Enacted
- Pub. L. 111-203, tit. IX, subtit. D, sec. 943REPRESENTATIONS AND WARRANTIES IN ASSET-BACKED OFFERINGS.Enacted
- Pub. L. 111-203, tit. IX, subtit. D, sec. 944EXEMPTED TRANSACTIONS UNDER THE SECURITIES ACT OF 1933.Enacted
- Pub. L. 111-203, tit. IX, subtit. D, sec. 945DUE DILIGENCE ANALYSIS AND DISCLOSURE IN ASSET-BACKED SECURITIES ISSUES.Enacted
- Pub. L. 111-203, tit. IX, subtit. D, sec. 946STUDY ON THE MACROECONOMIC EFFECTS OF RISK RETENTION REQUIREMENTS.Enacted
- Pub. L. 111-203, tit. IX, subtit. E, sec. 951SHAREHOLDER VOTE ON EXECUTIVE COMPENSATION DISCLOSURES.Enacted
- Pub. L. 111-203, tit. IX, subtit. E, sec. 952COMPENSATION COMMITTEE INDEPENDENCE.Enacted
- Pub. L. 111-203, tit. IX, subtit. E, sec. 953EXECUTIVE COMPENSATION DISCLOSURES.Enacted
- Pub. L. 111-203, tit. IX, subtit. E, sec. 954RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION.Enacted
- Pub. L. 111-203, tit. IX, subtit. E, sec. 955DISCLOSURE REGARDING EMPLOYEE AND DIRECTOR HEDGING.Enacted
- Pub. L. 111-203, tit. IX, subtit. E, sec. 956ENHANCED COMPENSATION STRUCTURE REPORTING.Enacted
- Pub. L. 111-203, tit. IX, subtit. E, sec. 957VOTING BY BROKERS.Enacted
- Pub. L. 111-203, tit. IX, subtit. F, sec. 961REPORT AND CERTIFICATION OF INTERNAL SUPERVISORY CONTROLS.Enacted
- Pub. L. 111-203, tit. IX, subtit. F, sec. 962TRIENNIAL REPORT ON PERSONNEL MANAGEMENT.Enacted
- Pub. L. 111-203, tit. IX, subtit. F, sec. 963ANNUAL FINANCIAL CONTROLS AUDIT.Enacted
- Pub. L. 111-203, tit. IX, subtit. F, sec. 964REPORT ON OVERSIGHT OF NATIONAL SECURITIES ASSOCIATIONS.Enacted
- Pub. L. 111-203, tit. IX, subtit. F, sec. 965COMPLIANCE EXAMINERS.Enacted
- Pub. L. 111-203, tit. IX, subtit. F, sec. 966SUGGESTION PROGRAM FOR EMPLOYEES OF THE COMMISSION.Enacted
- Pub. L. 111-203, tit. IX, subtit. F, sec. 967COMMISSION ORGANIZATIONAL STUDY AND REFORM.Enacted
- Pub. L. 111-203, tit. IX, subtit. F, sec. 968STUDY ON SEC REVOLVING DOOR.Enacted
- Pub. L. 111-203, tit. IX, subtit. G, sec. 971PROXY ACCESS.Enacted
- Pub. L. 111-203, tit. IX, subtit. G, sec. 972DISCLOSURES REGARDING CHAIRMAN AND CEO STRUCTURES.Enacted
- Pub. L. 111-203, tit. IX, subtit. H, sec. 975REGULATION OF MUNICIPAL SECURITIES AND CHANGES TO THE BOARD OF THE MSRB.Enacted
- Pub. L. 111-203, tit. IX, subtit. H, sec. 976GOVERNMENT ACCOUNTABILITY OFFICE STUDY OF INCREASED DISCLOSURE TO INVESTORS.Enacted
- Pub. L. 111-203, tit. IX, subtit. H, sec. 977GOVERNMENT ACCOUNTABILITY OFFICE STUDY ON THE MUNICIPAL SECURITIES MARKETS.Enacted
- Pub. L. 111-203, tit. IX, subtit. H, sec. 978FUNDING FOR GOVERNMENTAL ACCOUNTING STANDARDS BOARD.Enacted
- Pub. L. 111-203, tit. IX, subtit. H, sec. 979COMMISSION OFFICE OF MUNICIPAL SECURITIES.Enacted
- Pub. L. 111-203, tit. IX, subtit. I, sec. 981AUTHORITY TO SHARE CERTAIN INFORMATION WITH FOREIGN AUTHORITIES.Enacted
- Pub. L. 111-203, tit. IX, subtit. I, sec. 982OVERSIGHT OF BROKERS AND DEALERS.Enacted
- Pub. L. 111-203, tit. IX, subtit. I, sec. 983PORTFOLIO MARGINING.Enacted
- Pub. L. 111-203, tit. IX, subtit. I, sec. 984LOAN OR BORROWING OF SECURITIES.Enacted
- Pub. L. 111-203, tit. IX, subtit. I, sec. 985TECHNICAL CORRECTIONS TO FEDERAL SECURITIES LAWS.Enacted
- Pub. L. 111-203, tit. IX, subtit. I, sec. 986CONFORMING AMENDMENTS RELATING TO REPEAL OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935.Enacted
- Pub. L. 111-203, tit. IX, subtit. I, sec. 987AMENDMENT TO DEFINITION OF MATERIAL LOSS AND NONMATERIAL LOSSES TO THE DEPOSIT INSURANCE FUND FOR PURPOSES OF INSPECTOR GENERAL REVIEWS.Enacted