HB 3239: Securities Transactions
GENERAL BILL by Thrasher ; Lippman ; (CO-INTRODUCERS) Bainter ; Safley ; Mackey ; Feeney
Securities Transactions; specifies additional securities as exempt from certain registration requirements; clarifies exemption of certain securities in certain transactions from registration requirements; authorizes Banking & Finance Dept. to adopt certain rules for electronic deposits & filings; requires certain dealers to comply with net capital & ratio requirements; specifies notice filing requirements for federal covered advisers, etc. Amends Ch. 517. APPROPRIATION: $75,000.
Effective Date: 05/24/1998
Last Action: 5/24/1998 - Became Law without Governor's Signature; Chapter No. 98-221
Bill Text: Web Page | PDF
Last Action: 5/24/1998 - Became Law without Governor's Signature; Chapter No. 98-221
Bill Text: Web Page | PDF
Bill History
| Date | Chamber | Action |
|---|---|---|
| 12/2/1997 | House |
• Prefiled |
| 1/6/1998 | House |
• Referred to Financial Services (EIC); On Committee agenda-- Financial Services (EIC), 01/06/98, 9:00 am, Morris Hall; Comm. Action:-Unanimously Favorable with 1 amendment(s) by Financial Services (EIC) |
| 1/9/1998 | House |
• Pending Consent Calendar |
| 3/3/1998 | House |
• Introduced, referred to Financial Services (EIC) -HJ 00020; On Committee agenda-- Financial Services (EIC), 01/06/98, 9:00 am, Morris Hall; Comm. Action:-Unanimously Favorable with 1 amendment(s) by Financial Services (EIC) -HJ 00079; Pending Consent Calendar -HJ 00079 |
| 3/6/1998 | House |
• Available for Consent Calendar |
| 3/17/1998 | House |
• Placed on Consent Calendar |
| 3/24/1998 | House |
• Read second time -HJ 00328; Amendment(s) adopted -HJ 00328; Read third time -HJ 00328; Passed as amended; YEAS 119 NAYS 0 -HJ 00328 |
| 3/25/1998 | Senate |
• In Messages |
| 4/1/1998 | Senate |
• Received, referred to Banking and Insurance; Ways and Means -SJ 00354 |
| 4/17/1998 | Senate |
• Withdrawn from Banking and Insurance; Ways and Means -SJ 00515; Substituted for SB 510 -SJ 00515; Read second time -SJ 00515; Amendment(s) adopted -SJ 00515 |
| 4/22/1998 | Senate |
• Read third time -SJ 00762; Passed as amended; YEAS 32 NAYS 0 -SJ 00762; Immediately certified -SJ 00762 |
| 4/22/1998 | House |
• In returning messages |
| 4/29/1998 | House |
• Concurred -HJ 01565; Passed as amended; YEAS 118 NAYS 0 -HJ 01565; Ordered engrossed, then enrolled -HJ 01565 |
| 5/8/1998 |
• Signed by Officers and presented to Governor |
|
| 5/24/1998 |
• Became Law without Governor's Signature; Chapter No. 98-221 |