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HR 4745 103th Congress House

Derivatives Dealers Act of 1994

Official title: To provide a framework for Securities and Exchange Commission supervision and regulation of derivatives activities, and for other purposes.

Introduced: July 13, 1994 Introduced by: Markey, Edward J. Democratic · Massachusetts See on congress.gov
Finance and Financial Sector Administrative procedureBrokersBusiness recordsCapital
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CommerceCrime and Law EnforcementDerivative securitiesEconomics and Public FinanceFinancial statementsGovernment Operations and PoliticsGovernment paperworkGovernment securitiesIndependent regulatory commissionsInformation disclosure (Securities law)Insurance companiesLicensesRisk assessmentRisk managementSecurities
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This bill died when the 103rd Congress ended
It never became law before the 103rd Congress (1993–1994) adjourned, and bills don't carry over to the next Congress. It would have to be reintroduced. You can still save it for reference, but it won't receive updates.
 Everywhere this bill has been 4 steps
Introduced
In committee
Reported out
Passed House
Passed Senate
To President
Became law
Aug 11, 1994
Referred to the Subcommittee on Telecommunications and Finance.
Jul 15, 1994
Sponsor introductory remarks on measure. (CR E1469-1471)
Jul 13, 1994
Referred to the House Committee on Energy and Commerce.
Jul 13, 1994
Introduced in House
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 Latest action August 11, 1994

Referred to the Subcommittee on Telecommunications and Finance.

 Plain-English summary Congressional Research Service

TABLE OF CONTENTS:

Title I: Derivatives Dealers

Title II: Broker-Dealer Oversight Reforms

Derivatives Dealers Act of 1994 - Amends the Securities Exchange Act of 1934 (the Act) to define "derivatives dealer," "material associated person," and "person associated with a derivatives dealer" so as to include derivatives dealers affiliated with securities and insurance firms.

Title I: Derivatives Dealers - Sets forth: (1) registration and notice requirements for derivatives broker/dealers and material associated persons of such broker/dealers; (2) Securities and Exchange Commission (SEC) rulemaking authority over derivatives dealers; and (3) membership requirements in a registered securities association for derivatives dealers.

Title II: Broker-Dealer Oversight Reforms - Authorizes national securities exchanges and registered securities associations to prescribe internal rules and enforcement guidelines for members engaged in derivatives transactions and for material associated persons.

Requires SEC financial responsibility rules to include maintenance of sufficient capital levels taking into account selected activities of any registered derivatives dealer that is a material associated person of a broker or dealer.

Includes within SEC risk assessment guidelines the derivatives transactions of government and municipal securities broker/dealers, and of registered broker/dealers.

 Bill text 1 version

Source documents hosted by congress.gov.

 Committees of jurisdiction 2
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APA
U.S. Congress. (2026). H.R. 4745: Derivatives Dealers Act of 1994. 103rd Congress. Open America. https://openamerica.io/bill/103-HR-4745/
MLA
"H.R. 4745: Derivatives Dealers Act of 1994." 103rd Congress, 2026, Open America, https://openamerica.io/bill/103-HR-4745/.
Bluebook (legal)
H.R. 4745, 103rd Cong. (2026), https://openamerica.io/bill/103-HR-4745/.
Markdown link
[H.R. 4745: Derivatives Dealers Act of 1994](https://openamerica.io/bill/103-HR-4745/)
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