Subtitle B — Increasing Regulatory Enforcement and Remedies
SEC. 921. Authority to restrict mandatory pre-dispute arbitration.
(a) Amendment to Securities Exchange Act of 1934. (amending 15 U.S.C. § 78o by adding (o))
(b) Amendment to Investment Advisers Act of 1940. (amending 15 U.S.C. § 80b-5 by adding (f)).
SEC. 922. Whistleblower protection.
(a) In General (adding 15 U.S.C. § 78u-6)
(b) Protection for Employees of Nationally Recognized Statistical Rating Organizations (amending 18 U.S.C. § 1514A)
(c) Amendment of Section 1514A of title 18, United States Code.
(d) Study of Whistleblower Protection Program
SEC. 923. Conforming amendments for whistleblower protection.
SEC. 924. Implementation and transition provisions for whistleblower protection.
SEC. 926. Disqualifying felons and other “bad actors” from Regulation D offerings. (See Note to 15 U.S.C. § 77d)
SEC. 927. Equal treatment of self-regulatory organization rules.(amending 15 U.S.C. § 78cc(a))
SEC. 928. Clarification that section 205 of the Investment Advisers Act of 1940 does not apply to State-registered advisers. (amending 15 U.S.C. § 80b-5(a))
SEC. 929. Unlawful margin lending. (amending 15 U.S.C. § 78g(c)(1)(A))
SEC. 929A. Protection for employees of subsidiaries and affiliates of publicly traded companies. (amending 18 U.S.C. § 1514A)
SEC. 929B. Fair Fund amendments. (amending 15 U.S.C. § 7246(a))
SEC. 929C. Increasing the borrowing limit on Treasury loans. (amending 15 U.S.C. § 78ddd(h))
Sec. 929D. Lost and stolen securities. (amending 15 U.S.C. § 78q(f)(1))
Sec. 929E. Nationwide service of subpoenas. (amending 15 U.S.C. §§ 77v(a), 78aa, 80a-43, 80b-14)
Sec. 929F. Formerly associated persons. (amending 15 U.S.C. §§ 78o-4(c)(8), 78o-5(c), 78u(a)(1), 78s(h)(4), 80a-35(a), 7201(9), 7215(c)(6), 7217(d)(3))
Sec. 929G. Streamlined hiring authority for market specialists. (amending 5 U.S.C. § 3114)
Sec. 929H. SIPC Reforms. (amending 15 U.S.C. § 78fff-3, 78eee(a)(3))
Sec. 929I. Protecting confidentiality of materials submitted to the Commission. (amending 15 U.S.C. § 78x, 80a-30, 80b-10)
Sec. 929J. Expansion of audit information to be produced and exchanged. (amending 15 U.S.C. § 7216)
Sec. 929K. Sharing privileged information with other authorities. (amending 15 U.S.C. § 78x)
Sec. 929L. Enhanced application of antifraud provisions. (amending 15 U.S.C. §§ 78i, 78j, 78o)
Sec. 929M. Aiding and abetting authority under the Securities Act and the Investment Company Act. (amending 15 U.S.C. § 77o)
Sec. 929N. Authority to impose penalties for aiding and abetting violations of the Investment Advisers Act. (amending 15 U.S.C. § 80b-9)
Sec. 929O. Aiding and abetting standard of knowledge satisfied by recklessness. (amending 15 U.S.C. § 78t(e))
Sec. 929P. Strengthening enforcement by the Commission. (amending 15 U.S.C. § 77h-1, 77v(a), 78t(a), 78u-2(a), 78aa, 80a-9(d)(1), 80b-3(i)(1))
Sec. 929Q. Revision to recordkeeping rule. (amending 15 U.S.C. §§ 80a-30, 80b-4)
Sec. 929R. Beneficial ownership and short-swing profit reporting. (amending 15 U.S.C. §§ 78m, 78p(a))
Sec. 929S. Fingerprinting. (amending 15 U.S.C. § 78q(f)(2))
Sec. 929T. Equal treatment of self-regulatory organization rules. (amending 15 U.S.C. § 78cc(a))
Sec. 929U. Deadline for completing examinations, inspections and enforcement actions. (adding 15 U.S.C. § 78d-5)
Sec. 929V. Security Investor Protection Act amendments. (amending 15 U.S.C. §§ 78ddd(d)(1)(C), 78jjj(c))
Sec. 929W. Notice to missing security holders. (adding subsection (g))
Sec. 929X. Short sale reforms. (amending 15 U.S.C. §§ 78i, 78m(f), 78o)
Sec. 929Y. Study on extraterritorial private rights of action.