SB 510: Securities Transactions
GENERAL BILL by Horne ; (CO-INTRODUCERS) Bronson
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: Upon becoming law
Last Action: 4/17/1998 Senate - 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)
Bill Text: Web Page | PDF
Last Action: 4/17/1998 Senate - 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)
Bill Text: Web Page | PDF
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Bill History
Date Chamber Action 12/12/1997 Senate • Prefiled
1/9/1998 Senate • Referred to Banking and Insurance; Ways and Means
1/26/1998 Senate • On Committee agenda-- Banking and Insurance, 02/03/98, 9:00 am, Room-EL
2/3/1998 Senate • Comm. Action: Favorable with 2 amendment(s) by Banking and Insurance
2/4/1998 Senate • Now in Ways and Means
3/3/1998 Senate • Introduced, referred to Banking and Insurance; Ways and Means -SJ 00037; On Committee agenda-- Banking and Insurance, 02/03/98, 9:00 am, Room-EL; Comm. Action: Favorable with 2 amendment(s) by Banking and Insurance -SJ 00007; Now in Ways and Means -SJ 00007
3/23/1998 Senate • On Committee agenda-- Ways and Means, 03/26/98, 2:30 pm, Room-EL --Not considered
3/27/1998 Senate • On Committee agenda-- Ways and Means, 04/01/98, 12:30 pm, Room-EL --Not considered
4/1/1998 Senate • On Committee agenda-- Ways and Means, 04/06/98, 2:00 pm, Room-EL
4/6/1998 Senate • Comm. Action:-Favorable by Ways and Means -SJ 00407
4/7/1998 Senate • Placed on Calendar -SJ 00407
4/15/1998 Senate • Placed on Special Order Calendar -SJ 00478
4/16/1998 Senate • Placed on Special Order Calendar -SJ 00478
4/17/1998 Senate • 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)
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SB 510, Original Filed Version (Current Bill Version) Posted 1/26/1998 at 1:49 PM
Bill Text: Web Page | PDF Analyses: Banking and Insurance (Post-Meeting) 2/2/1998 (pdf)
Ways and Means (Post-Meeting) 3/24/1998 (pdf)
Related Bills (1)
Bill Number Subject Filed By Relationship Last Action and Location H 3239 (e2) Lippman Similar Last Action: 5/24/1998 Became Law without Governor's Signature; Chapter No. 98-221
Location:Committee Amendments (2)
Amendment Sponsor Filed Last Committee Action Format 545176 - Amendment
Banking and Insurance 4/8/1998
1:00 AMWeb Page
PDF925396 - Amendment
Banking and Insurance 4/8/1998
1:00 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.