Examining the SEC’s Agenda, Operations, and FY 2017 Budget Request

Williams & Jensen
Congressional Hearing Report
November 18, 2015

On November 18, the House Financial Services Committee held a hearing entitled “Examining the SEC’s Agenda, Operations, and FY 2017 Budget Request.”
Topics discussed in the hearing included, but were not limited to: (1) Fiduciary Duty; (2) Bond Market Illiquidity; (3) the SEC Budget; (4) the Waiver Process; (5) Business Development Companies; (6) SIPC; (7) Regulation D; (8) Puerto Rico; (9) Small Business Online Lending; (10) Settlement Cycle; (11) the August 24 Market Event; (12) Asset Management; (13) Insurance; (14) Political Expenditure Disclosure; (15) Conflict Minerals; (16) Tick Size Pilot Program; (17)
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Regulatory Costs; (18) Merrill Lynch; (19) FSOC; (20) Legal Entity Identifiers; (21) REITS; (22) Volcker Rule; (23) Accredited Investor Definition; (24) SIPs; (25) FASB; (26) Crowdfunding; (27) Pay Ratio; (28) Disclosures; (29) Cybersecurity; (30) Small Business Forum; (31) Last In, First Out (LIFO) Accounting; (32) Equity Market Structure Advisory Committee; (33) SEC Commissioners; (34) Transfer Agents; and (35) New Markets.

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