Lawmakers Address Securities Bills Regarding Audit Rotation Requirements, Dodd-Frank, M & A Business Broker Registration, & Senior Fraud

New Bill Pushes to Modify Registration of Certain Brokers Involved in Mergers & Acquisitions
美国众议院新介绍的法案正在向经纪人的证券交易委员会寻求简化注册，以促进年收益低于2500万美元且年收入低于2.5亿美元的私人公司的收购和合并。bob200体育目前，这些经纪人必须在SEC中注册为经纪交易商，并寻求FINRA会员资格，但其中许多人对这些要求不了解。该法案将免除这些经纪交易商

Having to become a FINRA member, which means they would not be subject to regulation under the SRO. HR 2274 would amend 1934 Securities Exchange Acts Section 15(b). It seeks to lower regulator expenses of sellers and buyers of privately held companies that are smaller and need professional business brokerage services.

立法者推动账单，以解决Dodd-Frank法案
Meantime, the House Financial Services Committee has voted to move three bills dealing with Dodd-Frank Wall Street Reform and Consumer Protection Act mandates and another bill that would prohibit the Public Company Accounting Oversight Board from making public companies rotate auditors. Committee Chairman Jeb Ensnarling (R-Texas) said that while Dodd-Frank is supposed to push for “Wall Street reform,” it is now clear that several provisions are proving too expensive for thousands of public companies that didn’t play any part in the economic crisis.

HR 1105 would allow for greater flow of public capital while no longer requiring 98% of private equity funds to have to pay the expense of registering with the SEC. The second bill, HR 1135 would repeal the Dodd-Frank requirement that public companies have to reveal the median income of everyone that works for them (except for the CEO’s), the CEO’s salary, and the ratio for both. HR 2374 would make the SEC promulgate a rule unifying broker-dealers and advisers under a uniform fiduciary standard before the US Labor Department amends its rules about the term “fiduciary.” Meantime, HR 1564 would prevent the PCAOB from making companies rotate auditors or require that specific auditors perform the audits.

New Bill Would Mean Tougher Penalties for Senior Fraud Perpetrators
在美国参议院，参议员罗伯特·凯西（Robert P.bob200体育行为。如果通过法律，将为SEC支付额外的50,000美元罚款，以违反这些行为，这些行为暗示了62岁和年龄段的老年人。正如凯西（Casey）所指出的那样，在所有欺诈案件中，老年人的代表不成比例。他说，有必要使后果苛刻，以阻止金融骗子。S. 1185还告诉美国量刑委员会，以查看并修改其准则，以确保对违反刑事证券法的行为受到适当的惩罚。bob200体育

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FINRA Delays Audit Trail Plan, Proposes Arbitration Rule Changes, Asks for Firm’s Social Media Use Data, Warns About Cybersecurity Breaches, Stockbroker Fraud Blog, June 28, 2013