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
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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4/17/1998 Senate • Withdrawn from Banking and Insurance; Ways and Means -SJ 00515; Substituted for SB 510 -SJ 00515; Read second time -SJ 00515; Amendment(s) adopted -SJ 00515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
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HB 3239, Enrolled (Current Bill Version) Posted 8/28/2000 at 11:08 AM
Bill Text: Web Page | PDF Analyses: None Related Bills (1)
Bill Number Subject Filed By Relationship Last Action and Location S 510 Securities Transactions Horne Similar Last Action: 4/17/1998 S Placed on Special Order Calendar -SJ 00498; Read second time -SJ 00514; Amendment(s) adopted -SJ 00515; House Bill substituted -SJ 00515; Laid on Table, Iden./Sim./Compare Bill(s) passed, refer to HB 3239 (Ch. 98-221)
Location:Citations - Statutes (12)
Citation Catchline Location in Bill Location In Bill Help 517.021 Definitions. 517.051 Exempt securities. 517.061 Exempt transactions. 517.081 Registration procedure. 517.082 Notification registration. 517.12 Registration of dealers, associated persons, investment advisers, and branch offices. 517.1201 517.1205 Registration of associated persons specific as to securities dealer or investment adviser identified at time of registration approval. 517.131 Securities Guaranty Fund. 517.161 Revocation, denial, or suspension of registration of dealer, investment adviser, associated person, or branch office. 517.302 Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution. 517.311 False representations; deceptive words; enforcement. -
HB 3239, Engrossed 2 Posted 8/28/2000 at 11:08 AM
Bill Text: Web Page | PDF Analyses: None Floor Votes (3)
Date Chamber Result 3/24/1998 11:48 AM House 119 Yeas - 0 Nays 4/22/1998 9:37 AM Senate 32 Yeas - 0 Nays 4/29/1998 9:48 AM House 118 Yeas - 0 Nays Citations - Statutes (12)
Citation Catchline Location in Bill Location In Bill Help 517.021 Definitions. 517.051 Exempt securities. 517.061 Exempt transactions. 517.081 Registration procedure. 517.082 Notification registration. 517.12 Registration of dealers, associated persons, investment advisers, and branch offices. 517.1201 517.1205 Registration of associated persons specific as to securities dealer or investment adviser identified at time of registration approval. 517.131 Securities Guaranty Fund. 517.161 Revocation, denial, or suspension of registration of dealer, investment adviser, associated person, or branch office. 517.302 Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution. 517.311 False representations; deceptive words; enforcement. -
HB 3239, Engrossed 1 Posted 8/28/2000 at 11:08 AM
Bill Text: Web Page | PDF Analyses: None Floor Amendments (2)
Amendment Sponsor Filed Last Floor Action Format 075842 - Amendment
Horne 4/15/1998
12:00 AMWeb Page
PDF651352 - Amendment
Horne 4/15/1998
12:02 AMWeb Page
PDFCitations - Statutes (12)
Citation Catchline Location in Bill Location In Bill Help 517.021 Definitions. 517.051 Exempt securities. 517.061 Exempt transactions. 517.081 Registration procedure. 517.082 Notification registration. 517.12 Registration of dealers, associated persons, investment advisers, and branch offices. 517.1201 517.1205 Registration of associated persons specific as to securities dealer or investment adviser identified at time of registration approval. 517.131 Securities Guaranty Fund. 517.161 Revocation, denial, or suspension of registration of dealer, investment adviser, associated person, or branch office. 517.302 Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution. 517.311 False representations; deceptive words; enforcement. -
HB 3239, Original Filed Version Posted 8/28/2000 at 11:08 AM
Bill Text: Web Page | PDF Analyses: None Committee Amendments (1)
Amendment Sponsor Filed Last Committee Action Format 384241 - Amendment
Financial Services 3/23/1998
8:28 PMWeb Page
PDFCitations - Statutes (12)
Citation Catchline Location in Bill Location In Bill Help 517.021 Definitions. 517.051 Exempt securities. 517.061 Exempt transactions. 517.081 Registration procedure. 517.082 Notification registration. 517.12 Registration of dealers, associated persons, investment advisers, and branch offices. 517.1201 517.1205 Registration of associated persons specific as to securities dealer or investment adviser identified at time of registration approval. 517.131 Securities Guaranty Fund. 517.161 Revocation, denial, or suspension of registration of dealer, investment adviser, associated person, or branch office. 517.302 Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution. 517.311 False representations; deceptive words; enforcement.