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Securities Fraud Enforcement and Investor Compensation Act of 2019
Legislative Progress
Momentum (last 30 days)
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score
0 actions · 0 new cosponsors · 0 votes
Speed vs cohort
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vs 5,086 other S bills in the 116th — cohort avg 30d
Securities Fraud Enforcement and Investor Compensation Act of 2019 This bill provides statutory authority for the Securities and Exchange Commission (SEC) to seek disgorgement (i.e., repayment) as a remedy for unjust enrichment that a person gained through a securities law violation. It also allows the SEC to seek restitution for an investor's loss as a result of a securities law violation by a person registered as or associated with a securities dealer, broker, or other specified financial advisor. The bill establishes a 5-year statute of limitations for disgorgement and a 10-year statute of limitations for equitable remedies, including restitution.
These links require the bill number to appear in the filing's source-reported specific issue text. Client expenses and lobbying-firm income are separate disclosure fields.
Filing registrants (3)
2021 · second_quarter · Energy/Nuclear
Issues relating to HR 5523, Energy Sector Innovation Act of 2019 (generally, no specific provisions). Issue related to S.799 - SCALE Act; Issues related to H.R.7516, Clean Energy Innovation and Deployment Act of 2020; Hydrogen Utilization and Sustainability Act, generally.
Client expense: $100,000 · Firm income: Not reported
Read twice and referred to the Committee on Banking, Housing, and Urban Affairs.
Introduced in Senate
Bills with similar content found using semantic analysis.
Sources: Congress.gov
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2021 · first_quarter · Energy/Nuclear
Issues relating to HR 5523, Energy Sector Innovation Act of 2019 (generally, no specific provisions). Issue related to S.799 - SCALE Act; Issues related to H.R.7516, Clean Energy Innovation and Deployment Act of 2020; Hydrogen Utilization and Sustainability Act, generally.
Client expense: $110,000 · Firm income: Not reported
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2020 · fourth_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Foreign Investment Risk Review Modernization Act (Public Law No: 115-232) and Committee on Foreign Investment in the United States, and regulations affecting private equity; Credit funds - Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act (S. 1978 / H.R. 2513), Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act) (S. 2563), and other legislation related to beneficial ownership of corporations; proposed legislation related to regulation of investment advisers; Kokesh- Investor Protection and Capital Markets Fairness Act (H.R. 4344), Securities Fraud Enforcement and Investor Compensation Act (S.799), Stop Wall Street Looting Act (S. 2155 / H.R. 3848); CARES Act (Public Law No: 116-136), legislation and regulations related to private equity; Department of Labor guidance on Employee Retirement Income Security Act of 1974.
Client expense: $640,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, White House Office
2020 · fourth_quarter · Banking
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; CARES Act (Public Law No: 116-136), legislation and regulations related to private equity; Dodd-Frank Act, regulations affecting private equity; Legislation and regulation of business development companies, including CARES Act (Public Law No: 116-136); Volcker Rule, proposed modifications thereto; and Committee on Foreign Investment in the United States, and regulations affecting private equity; Credit funds - Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act (S. 1978 / H.R. 2513), Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act) (S. 2563), and other legislation related to beneficial ownership of corporations; proposed legislation related to regulation of investment advisers; Kokesh- Investor Protection and Capital Markets Fairness Act (H.R. 4344), Securities Fraud Enforcement and Investor Compensation Act (S.799). Stop Wall Street Looting Act (S. 2155 / H.R. 3848); Department of Labor guidance on Employee Retirement Income Security Act of 1974.
Client expense: $640,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, White House Office
2020 · fourth_quarter · Financial Institutions/Investments/Securities
Issues impacting securities fraud victims; S.799, Securities Fraud Enforcement and Investor Compensation Act of 2019; S.4049, National Defense Authorization Act for Fiscal Year 2021.
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2020 · third_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Foreign Investment Risk Review Modernization Act (Public Law No: 115-232) and Committee on Foreign Investment in the United States, and regulations affecting private equity; Credit funds - Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act (S. 1978 / H.R. 2513), Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act) (S. 2563), and other legislation related to beneficial ownership of corporations; proposed legislation related to regulation of investment advisers; Kokesh- Investor Protection and Capital Markets Fairness Act (H.R. 4344), Securities Fraud Enforcement and Investor Compensation Act (S.799), Stop Wall Street Looting Act (S. 2155 / H.R. 3848); CARES Act (Public Law No: 116-136), legislation and regulations related to private equity; Department of Labor guidance on Employee Retirement Income Security Act of 1974.
Client expense: $400,000 · Firm income: Not reported
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, White House Office
2020 · third_quarter · Banking
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; CARES Act (Public Law No: 116-136), legislation and regulations related to private equity; Dodd-Frank Act, regulations affecting private equity; Legislation and regulation of business development companies, including CARES Act (Public Law No: 116-136); Volcker Rule, proposed modifications thereto; and Committee on Foreign Investment in the United States, and regulations affecting private equity; Credit funds - Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act (S. 1978 / H.R. 2513), Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act) (S. 2563), and other legislation related to beneficial ownership of corporations; proposed legislation related to regulation of investment advisers; Kokesh- Investor Protection and Capital Markets Fairness Act (H.R. 4344), Securities Fraud Enforcement and Investor Compensation Act (S.799). Stop Wall Street Looting Act (S. 2155 / H.R. 3848); Department of Labor guidance on Employee Retirement Income Security Act of 1974.
Client expense: $400,000 · Firm income: Not reported
2020 · third_quarter · Financial Institutions/Investments/Securities
Issues impacting securities fraud victims; S.799, Securities Fraud Enforcement and Investor Compensation Act of 2019; S.4049, National Defense Authorization Act for Fiscal Year 2021.
Client expense: Not reported · Firm income: $10,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2020 · second_quarter · Banking
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; CARES Act (Public Law No: 116-136), legislation and regulations related to private equity; Dodd-Frank Act, regulations affecting private equity; Legislation and regulation of business development companies, including CARES Act (Public Law No: 116-136); Volcker Rule, proposed modifications thereto; Committee on Foreign Investment in the United States, and regulations affecting private equity; Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act (S. 1978/H.R. 2513), Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act) (S. 2563), and other legislation related to beneficial ownership of corporations; Proposed legislation related to regulation of investment advisers; Kokesh-Investor Protection and Capital Markets Fairness Act (H.R. 4344); Securities Fraud Enforcement and Investor Compensation Act (S. 799); Stop Wall Street Looting Act (S. 2155/H.R. 3848); Department of Labor guidance on Employee Retirement Income Security Act of 1974.
Client expense: $500,000 · Firm income: Not reported
2020 · second_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Foreign Investment Risk Review Modernization Act (Public Law No: 115-232) and Committee on Foreign Investment in the United States, and regulations affecting private equity; Credit funds - Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act (S. 1978 / H.R. 2513), Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act) (S. 2563), and other legislation related to beneficial ownership of corporations; proposed legislation related to regulation of investment advisers; Kokesh- Investor Protection and Capital Markets Fairness Act (H.R. 4344), Securities Fraud Enforcement and Investor Compensation Act (S.799), Stop Wall Street Looting Act (S. 2155 / H.R. 3848); CARES Act (Public Law No: 116-136), legislation and regulations related to private equity; Department of Labor guidance on Employee Retirement Income Security Act of 1974.
Client expense: $500,000 · Firm income: Not reported
2020 · second_quarter · Financial Institutions/Investments/Securities
Issues impacting securities fraud victims; S.799, Securities Fraud Enforcement and Investor Compensation Act of 2019; S.4049, National Defense Authorization Act for Fiscal Year 2021.
Client expense: Not reported · Firm income: $60,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2020 · first_quarter · Financial Institutions/Investments/Securities
Issues impacting securities fraud victims; S.799, Securities Fraud Enforcement and Investor Compensation Act of 2019.
Client expense: Not reported · Firm income: $40,000
Government targets: HOUSE OF REPRESENTATIVES, SENATE
2020 · first_quarter · Banking
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; CARES Act (Public Law No: 116-136, H.R. 748/S. 3548), legislation and regulations related to private equity; Dodd-Frank Act, regulations affecting private equity; Legislation and regulation of business development companies, including CARES Act (Public Law No: 116-136, H.R. 748/S. 3548); Volcker Rule, proposed modifications thereto; Committee on Foreign Investment in the United States, and regulations affecting private equity; Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act (S. 1978/H.R. 2513), Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act) (S. 2563), and other legislation related to beneficial ownership of corporations; Proposed legislation related to regulation of investment advisers; Kokesh-Investor Protection and Capital Markets Fairness Act (H.R. 4344); Securities Fraud Enforcement and Investor Compensation Act (S. 799); Stop Wall Street Looting Act (S. 2155/H.R. 3848).
Client expense: $640,000 · Firm income: Not reported
2020 · first_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Foreign Investment Risk Review Modernization Act (Public Law No: 115-232) and Committee on Foreign Investment in the United States, and regulations affecting private equity; Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act (S. 1978/H.R. 2513), Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act) (S. 2563), and other legislation related to beneficial ownership of corporations; Proposed legislation related to regulation of investment advisers; Kokesh-Investor Protection and Capital Markets Fairness Act (H.R. 4344), Securities Fraud Enforcement and Investor Compensation Act (S. 799), Stop Wall Street Looting Act (S. 2155/H.R. 3848); CARES Act (Public Law No: 116-136, H.R. 748/S. 3548), legislation and regulations related to private equity.
Client expense: $640,000 · Firm income: Not reported
2020 · first_quarter · Financial Institutions/Investments/Securities
Issues impacting securities fraud victims; S.799, Securities Fraud Enforcement and Investor Compensation Act of 2019.
Client expense: Not reported · Firm income: Not reported
2019 · fourth_quarter · Banking
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Credit funds - Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act, Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act), and other legislation related to beneficial ownership of corporations; Proposed legislation related to regulation of investment advisers; Kokesh-Securities Fraud Enforcement and Investor Compensation Act (H.R. 4344 / S. 2563), Securities Fraud Enforcement and Investor Compensation Act (S.799), Stop Wall Street Looting Act (S. 2155 / H.R. 3848).
Client expense: $650,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2019 · fourth_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Foreign Investment Risk Review Modernization Act (Public Law No: 115 232); Credit funds - Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act, Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act), and other legislation related to beneficial ownership of corporations; Proposed legislation related to regulation of investment advisers; Kokesh-Securities Fraud Enforcement and Investor Compensation Act (H.R. 4344 / S. 2563), Securities Fraud Enforcement and Investor Compensation Act (S.799), Stop Wall Street Looting Act (S. 2155 / H.R. 3848).
Client expense: $650,000 · Firm income: Not reported
2019 · third_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Foreign Investment Risk Review Modernization Act (Public Law No: 115-232); Credit funds - Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act, Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act), and other legislation related to beneficial ownership of corporations; proposed legislation related to regulation of investment advisers; Kokesh-Securities Fraud Enforcement and Investor Compensation Act (H.R. 4344 / S. 2563), Securities Fraud Enforcement and Investor Compensation Act (S.799), Stop Wall Street Looting Act (S. 2155 / H.R. 3848).
Client expense: $480,000 · Firm income: Not reported
2019 · third_quarter · Banking
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Credit funds - Credit funds and non-bank landing; Beneficial Ownership - Corporate Transparency Act, Improving Laundering Laws and Increasing Comprehensive Information Tracking of Criminal Activity in Shell Holdings (ILLICIT CASH Act), and other legislation related to beneficial ownership of corporations; proposed legislation related to regulation of investment advisers; Kokesh-Securities Fraud Enforcement and Investor Compensation Act (H.R. 4344 / S. 2563), Securities Fraud Enforcement and Investor Compensation Act (S.799), Stop Wall Street Looting Act (S. 2155 / H.R. 3848).
Client expense: $480,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2019 · second_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity and private credit; Regulations affecting private equity and private credit firms in the United States and abroad; Dodd-Frank Act regarding regulations affecting private equity; Volcker Rule regarding proposed modifications; Jumpstart Our Business Startups Act (P.L. 112-106) regarding regulations affecting private equity; Legislation affecting the regulation of business development companies; Foreign Investment Risk Review Modernization Act (P.L. 115-232); Securities Fraud Enforcement and Investor Compensation Act of 2019 (S. 799); Corporate Transparency Act (H.R. 2513 & S. 1978) and other legislation related to the beneficial ownership of corporations.
Client expense: $500,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2019 · first_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Jumpstart Our Business Startups Act (112 P.L. 106), regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Foreign Investment Risk Review Modernization Act (Public Law No: 115-232); and the Securities Fraud Enforcement and Investor Compensation Act of 2019 (S. 799).
Client expense: $450,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
2019 · first_quarter · Financial Institutions/Investments/Securities
Legislation affecting the regulation of private equity; Regulations affecting private equity firms in the United States and abroad; Dodd-Frank Act, regulations affecting private equity; Jumpstart Our Business Startups Act (112 P.L. 106), regulations affecting private equity; Legislation affecting the regulation of business development companies; Volcker Rule, proposed modifications thereto; Foreign Investment Risk Review Modernization Act (Public Law No: 115-232); and the Securities Fraud Enforcement and Investor Compensation Act of 2019 (S. 799).
Client expense: $440,000 · Firm income: Not reported
Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, White House Office
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, White House Office
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), State, Dept of (DOS), Treasury, Dept of, White House Office
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), State, Dept of (DOS), Treasury, Dept of, White House Office
Government targets: Commerce, Dept of (DOC), Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Housing & Urban Development, Dept of (HUD), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), State, Dept of (DOS), Treasury, Dept of, White House Office
Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office
Government targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, White House Office