Subtitle B — Increasing Regulatory Enforcement and Remedies

SEC. 921. Authority to restrict mandatory pre-dispute arbitration.
(a) Amendment to Securities Exchange Act of 1934.
(b) Amendment to Investment Advisers Act of 1940.

SEC. 922. Whistleblower protection.
(a) In General
(b) Protection for Employees of Nationally Recognized Statistical Rating Organizations
(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. 925. Collateral bars.

SEC. 926. Disqualifying felons and other “bad actors” from Regulation D offerings.

SEC. 927. Equal treatment of self-regulatory organization rules.

SEC. 928. Clarification that section 205 of the Investment Advisers Act of 1940 does not apply to State-registered advisers.

SEC. 929. Unlawful margin lending.

SEC. 929A. Protection for employees of subsidiaries and affiliates of publicly traded companies.

SEC. 929B. Fair Fund amendments..

SEC. 929C. Increasing the borrowing limit on Treasury loans.

Sec. 929D. Lost and stolen securities.

Sec. 929E. Nationwide service of subpoenas.

Sec. 929F. Formerly associated persons.

Sec. 929G. Streamlined hiring authority for market specialists.

Sec. 929H. SIPC Reforms.

Sec. 929I. Protecting confidentiality of materials submitted to the Commission.

Sec. 929J. Expansion of audit information to be produced and exchanged.

Sec. 929K. Sharing privileged information with other authorities.

Sec. 929L. Enhanced application of antifraud provisions.

Sec. 929M. Aiding and abetting authority under the Securities Act and the Investment Company Act.

Sec. 929N. Authority to impose penalties for aiding and abetting violations of the Investment Advisers Act.

Sec. 929O. Aiding and abetting standard of knowledge satisfied by recklessness.

Sec. 929P. Strengthening enforcement by the Commission.

Sec. 929Q. Revision to recordkeeping rule.

Sec. 929R. Beneficial ownership and short-swing profit reporting.

Sec. 929S. Fingerprinting.

Sec. 929T. Equal treatment of self-regulatory organization rules.

Sec. 929U. Deadline for completing examinations, inspections and enforcement actions.

Sec. 929V. Security Investor Protection Act amendments.

Sec. 929W. Notice to missing security holders.

Sec. 929X. Short sale reforms.

Sec. 929Y. Study on extraterritorial private rights of action.

Sec. 929Z. GAO study on securities litigation.