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CS/CS/CS/HB 681: Protection for Vulnerable Investors

GENERAL BILL by Commerce Committee ; Health and Human Services Committee ; Insurance and Banking Subcommittee ; Donalds ; (CO-INTRODUCERS) Brown ; White

Protection for Vulnerable Investors; Requires securities dealers, investment advisers, & associated persons to report knowledge or suspicion of abuse, neglect, or exploitation of vulnerable adults to DCF's central abuse hotline; authorizes such dealers, advisers & persons to delay transaction or disbursement of funds or securities based on reasonable belief of past, present, or attempted financial exploitation involving specified adults; provides basis for reasonable belief; requires specified notices & reports; provides for expiration of delay; authorizes shortening, extension or termination of delay; requires certain dealers, advisers, & persons to make certain records available to OFR; provides specified immunity for such dealers, advisers, & persons; requires specified minimum training & recordkeeping of training compliance.

Effective Date: 7/1/2018
Last Action: 3/10/2018 Senate - Died in Banking and Insurance
Bill Text: PDF
Senate Committee References:
  1. Banking and Insurance (BI)
  2. Commerce and Tourism (CM)
  3. Rules (RC)



Bill History

Date Chamber Action
11/14/2017 House • Filed
11/27/2017 House • Referred to Insurance and Banking Subcommittee; Children, Families and Seniors Subcommittee; Commerce Committee -HJ 61
1/9/2018 House • Introduced -HJ 61
1/26/2018 House • On Committee agenda-- Insurance and Banking Subcommittee, 01/30/18, 3:30 pm, Sumner Hall
1/30/2018 House • CS by Insurance and Banking Subcommittee; YEAS 12 NAYS 0 -HJ 487
2/2/2018 House • Pending review of CS under Rule 7.18(c)
• CS by Insurance and Banking Subcommittee read 1st time -HJ 486
2/5/2018 House • Original reference(s) removed: Children, Families and Seniors Subcommittee
• CS referred to Health and Human Services Committee; Commerce Committee -HJ 491
• Now in Health and Human Services Committee -HJ 491
2/13/2018 House • On Committee agenda-- Health and Human Services Committee, 02/15/18, 8:30 am, Morris Hall
2/15/2018 House • CS/CS by Health and Human Services Committee; YEAS 18 NAYS 0 -HJ 607
2/16/2018 House • Pending review of CS under Rule 7.18(c)
• CS/CS by Health and Human Services Committee read 1st time -HJ 603
2/19/2018 House • Now in Commerce Committee -HJ 613
2/20/2018 House • On Committee agenda-- Commerce Committee, 02/22/18, 9:00 am, Webster Hall
2/22/2018 House • CS/CS/CS by- Commerce Committee; YEAS 23 NAYS 1 -HJ 671
• Pending review of CS -under Rule 7.18(c)
• Placed on Calendar -HJ 669
• Placed on Special Order Calendar, 02/28/18
• CS/CS/CS by Commerce Committee read 1st time -HJ 664
2/28/2018 House • Read 2nd time -HJ 713
• Amendment(s) adopted (412157) -HJ 713
• Placed on 3rd reading
3/1/2018 House • Read 3rd time -HJ 746
• CS passed as amended; YEAS 113 NAYS 2 -HJ 746
3/1/2018 Senate • In Messages
• Referred to Banking and Insurance; Commerce and Tourism; Rules -SJ 441
• Received -SJ 441
3/10/2018 Senate • Indefinitely postponed and withdrawn from consideration
• Died in Banking and Insurance