legislation: 109-hr-5712

Congressional bills and resolutions from Congress.gov, filtered to policy areas relevant to environmental, health, agriculture, and wildlife regulation.

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bill_id congress bill_type bill_number title policy_area introduced_date latest_action_date latest_action_text origin_chamber sponsor_name sponsor_state sponsor_party sponsor_bioguide_id cosponsor_count summary_text update_date url
109-hr-5712 109 hr 5712 Securities and Exchange Commission Authority Restoration Act of 2006 Finance and Financial Sector 2006-06-29 2006-07-18 Referred to the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises. House Rep. Frank, Barney [D-MA-4] MA D F000339 3 Securities and Exchange Commission Authority Restoration Act of 2006 - Amends the Investment Advisers Act of 1940 with respect to the exemption from the requirement of registration for any investment adviser: (1) who has had fewer than fifteen clients during the course of the preceding twelve months; and (2) who neither holds himself out generally to the public as an investment adviser, nor acts an an investment adviser to any registered investment company or a company which has elected to be a business development company. Authorizes the Securities and Exchange Commission (SEC) to: (1) limit the availability of this exemption; and (2) require the registration of any investment adviser by requiring that certain shareholders, partners, and beneficial owners of, or investors in, clients of the adviser be counted as clients themselves. 2023-01-13T04:50:46Z  

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