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receivership

Occurrences over time

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  10. '14

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Occurrences in the Congressional Record

Entry Title Date
Customer Protection And End User Relief Act June 23, 2014
Frank Lucas, R-OK
"Section 8 of the Commodity Exchange Act (7 U.S.C. 12) is amended by adding at the end the following: “(j) Disclosure of Required Data of Other Registered Entities.— “(1) Except as provided in this subsection, the Commission may not be compelled to disclose any proprietary information provided to the Commission, except that nothing in this subsection— “(A) authorizes the Commission to withhold information from Congress, upon an agreement of confidentiality; or “(B) prevents the Commission from— “(i) complying with a request for information from any other Federal department or agency, any State or political subdivision thereof, or any foreign government or any department, agency, or political subdivision thereof requesting the report or information for purposes within the scope of its jurisdiction, upon an agreement of confidentiality to protect the information in a manner consistent with this paragraph and subsection (e); or “(ii) a disclosure made pursuant to a court order in connection with an administrative or judicial proceeding brought under this Act, in any receivership proceeding involving a receiver appointed in a judicial proceeding brought under this Act, or in any bankruptcy proceeding in which the Commission has intervened or in which the Commission has the right to appear and be heard under title 11 of the United States Code. “(2) Any proprietary information of a commodity trading advisor or commodity pool operator ascertained by the Commission in connection with Form CPO-PQR, Form CTA-PR, and any successor forms thereto, shall be subject to the same limitations on public disclosure, as any facts ascertained during an investigation, as provided by subsection (a); provided, however, that the Commission shall not be precluded from publishing aggregate information compiled from such forms, to the extent such aggregate information does not identify any individual person or firm, or such person’s proprietary information. “(3) For purposes of section 552 of title 5, United States Code, this subsection, and the information contemplated herein, shall be considered a statute described in subsection (b)(3)(B) of such section 552. “(4) For purposes of the definition of proprietary information in paragraph (5), the records and reports of any client account or commodity pool to which a commodity trading advisor or commodity pool operator registered under this title provides services that are filed with the Commission on Form CPO-PQR, CTA-PR, and any successor forms thereto, shall be deemed to be the records and reports of the commodity trading advisor or commodity pool operator, respectively. “(5) For purposes of this section, proprietary information of a commodity trading advisor or commodity pool operator includes sensitive, non-public information regarding— “(A) the commodity trading advisor, commodity pool operator or the trading strategies of the commodity trading advisor or commodity pool operator; “(B) analytical or research methodologies of a commodity trading advisor or commodity pool operator; “(C) trading data of a commodity trading advisor or commodity pool operator; and “(D) computer hardware or software containing intellectual property of a commodity trading advisor or commodity pool operator;”."
Swaps Regulatory Improvement Act October 30, 2013
Jeb Hensarling, R-TX
"No taxpayer funds shall be used to prevent the receivership of any swap entity resulting from swap or security-based swap activity of the swaps entity."
Conflict Between Iran And Israel March 5, 2012
Steve King, R-IA
"Then, if you go on down the line of the planks and the platforms that are universal among the Presidential candidates, you would see the desire to repeal Dodd-Frank there universally among Republicans. Dodd-Frank, that’s set up such that the government would decide which lending institutions were too big to be allowed to fail. Then, once declared too big to fail, the three entities in the Federal Government would decide whether they were going bankrupt, and if they went into receivership, who and what entity would receive them."
Impact Of Insured Depository Institution Failures December 19, 2011
Bill Posey, R-FL
"Among other things, the FDIC must determine whether financial institutions are being placed into receivership or conservatorship due to significant losses arising from loans for which all payments were made on time and the contractual terms of the loans have been met. With Congressman Westmoreland, I believe that a performing loan is exactly that—one that is performing according to the terms of the contract. A regulator should not be able to step in and interject an opinion on why the loan may not perform at some point in the future, and thus penalize a community bank."
Re-Introduction Of The Equitable Treatment Of Investors Act February 18, 2011
Scott Garrett, R-NJ
"In this legislation, there are important exceptions to those two general customer protections that deny that beneficial treatment to any customer who knew of or was complicit in the fraudulent activity of the debtor and to any customer who, as a registered professional in the securities markets, with the requisite knowledge of these matters, knew or should have known of the debtor’s fraudulent activities and failed to notify appropriate regulatory authorities. This portion of the bill’s language is meant to assure that SIPC and the receivership Trustee have fully adequate legal powers to act against customers undeserving of SIPA’s investor protections."

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