CS/HB 783: Branch Offices Conducting Securities Transactions
GENERAL BILL by Insurance and Banking Subcommittee ; Eagle ; (CO-INTRODUCERS) Raulerson
Branch Offices Conducting Securities Transactions; Provides for branch office notice filing with OFR in lieu of registration; prohibits securities dealer or investment advisor from conducting business from branch office unless specified notice has been filed with office; provides requirements & procedures with respect to notice filing for branch offices; authorizes FSC to adopt rules relating to such notice filings; provides fee for branch office notice filing; provides for expiration, renewal, suspension, revocation, & termination of branch office notice filings; provides applicability & construction with respect to fees collected for branch office notice filings; conforms provisions to changes made by act with respect to requiring branch office notice filings in lieu of registration.
Bill History
| Date | Chamber | Action |
|---|---|---|
| 2/13/2013 | House |
• Filed |
| 2/28/2013 | House |
• Referred to Insurance and Banking Subcommittee; Government Operations Appropriations Subcommittee; Regulatory Affairs Committee -HJ 81 |
| 3/5/2013 | House |
• Introduced -HJ 81 |
| 3/15/2013 | House |
• On Committee agenda-- Insurance and Banking Subcommittee, 03/19/13, 1:00 pm, 404 HOB |
| 3/19/2013 | House |
• CS by Insurance and Banking Subcommittee; YEAS 13 NAYS 0 -HJ 357 |
| 3/26/2013 | House |
• Pending review of CS under Rule 7.19(c) |
| 3/27/2013 | House |
• Original reference(s) removed: Government Operations Appropriations Subcommittee • CS referred to Regulatory Affairs Committee -HJ 355 • Now in Regulatory Affairs Committee -HJ 355 • CS by Insurance and Banking Subcommittee read 1st time -HJ 351 |
| 4/2/2013 | House |
• On Committee agenda-- Regulatory Affairs Committee, 04/04/13, 10:30 am, 404 HOB |
| 4/4/2013 | House |
• Favorable by- Regulatory Affairs Committee; YEAS 16 NAYS 0 -HJ 436 • Placed on Calendar -HJ 436 |
| 4/19/2013 | House |
• Placed on Special Order Calendar, 04/23/13 |
| 4/23/2013 | House |
• Read 2nd time -HJ 707 • Placed on 3rd reading |
| 4/24/2013 | House |
• Read 3rd time -HJ 807 • CS passed; YEAS 114 NAYS 0 -HJ 808 |
| 4/24/2013 | Senate |
• In Messages • Referred to Banking and Insurance; Commerce and Tourism; Judiciary -SJ 583 • Received -SJ 583 |
| 5/2/2013 | Senate |
• Withdrawn from Banking and Insurance; Commerce and Tourism; Judiciary -SJ 1018 • Placed on Calendar, on 2nd reading -SJ 1018 • Substituted for CS/SB 814 -SJ 1018 • Read 2nd time -SJ 1018 • Placed on 3rd reading |
| 5/3/2013 | Senate |
• Read 3rd time -SJ 1054 • CS passed; YEAS 39 NAYS 0 -SJ 1054 |
| 5/3/2013 | House |
• Ordered enrolled -HJ 1470 |
| 6/3/2013 |
• Signed by Officers and presented to Governor |
|
| 6/14/2013 |
• Approved by Governor |
|
| 6/17/2013 |
• Chapter No. 2013-202 |
