Game Stop Short Sales

House Financial Services Committee

Game Stopped? Who Wins and Loses When Short Sellers, Social Media, and Retail Investors Collide, Part III

Thursday May 6, 2021 12:00 p.m.

Room: Remote Videoconference

H.R. ____, the "Capital Markets Engagement and Transparency Act of 2021."

H.R. ____, to amend the Investment Advisers Act of 1940 to limit the exemption provided for family offices from the definition of an investment adviser to those family offices with less than $750,000,000 in assets under management and for other purposes.

H.R. ____, to require the Securities and Exchange Commission to carry out a study on the impact of the gamification of online trading platforms, and for other purposes.

H.R. ____, to amend the Securities Act of 1934 to establish certain requirements with respect to retail investor options trading, and for other purposes.

H.R. ____, to amend the Securities Exchange Act of 1934 to prohibit payment for order flow.

H.R. ____, to amend the Securities Exchange Act of 1934 to prohibit trading ahead by market makers, and for other purposes.

Hon. Gary Gensler, Chairman, Securities and Exchange Commission

Mr. Mihael Bodson, President / Chief Executive Officer, Depository Trust & Clearing Corporation

Mr. Robert Cook, President / Chief Executive Officer, Financial Industry Regulatory Authority, Inc.