H.R.2623 - To amend the Federal securities laws to clarify and expand the definition of certain persons under those laws.

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  • Official: To amend the Federal securities laws to clarify and expand the definition of certain persons under those laws. as introduced.

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Introduced
 
House
Passed
 
Senate
Passes
 
President
Signs
 

 
05/21/09
 
07/29/09
 
 
 
 
 

Official Summary

Amends the Securities Exchange Act of 1934 to authorize the Securities and Exchange Commission (SEC) to censure, place limitations on the activities or functions of, or investigate any person who at the time of specified alleged misconduct was: (1) a member or employee of the Municipal Secu

Official Summary

Amends the Securities Exchange Act of 1934 to authorize the Securities and Exchange Commission (SEC) to censure, place limitations on the activities or functions of, or investigate any person who at the time of specified alleged misconduct was:
(1) a member or employee of the Municipal Securities Rulemaking Board;
(2) a person associated with or seeking to become associated with a government securities broker or dealer;
(3) a person associated with a member of a national securities exchange or registered securities association;
(4) a participant of a registered clearing agency;
(5) an officer or director of a self-regulatory organization; and
(6) an officer or director of an investment company.

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