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.
• Referred to Insurance and Banking Subcommittee; Government Operations Appropriations Subcommittee; Regulatory Affairs Committee -HJ 81
• Introduced -HJ 81
• On Committee agenda-- Insurance and Banking Subcommittee, 03/19/13, 1:00 pm, 404 HOB
• CS by Insurance and Banking Subcommittee; YEAS 13 NAYS 0 -HJ 357
• Pending review of CS under Rule 7.19(c)
• 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
• On Committee agenda-- Regulatory Affairs Committee, 04/04/13, 10:30 am, 404 HOB
• Favorable by- Regulatory Affairs Committee; YEAS 16 NAYS 0 -HJ 436
• Placed on Calendar -HJ 436
• Placed on Special Order Calendar, 04/23/13
• Read 2nd time -HJ 707
• Placed on 3rd reading
• Read 3rd time -HJ 807
• CS passed; YEAS 114 NAYS 0 -HJ 808
• In Messages
• Referred to Banking and Insurance; Commerce and Tourism; Judiciary -SJ 583
• Received -SJ 583
• Withdrawn from Banking and Insurance; Commerce and Tourism; Judiciary -SJ 1018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
• Read 3rd time -SJ 1054
• CS passed; YEAS 39 NAYS 0 -SJ 1054
• Ordered enrolled -HJ 1470
• Signed by Officers and presented to Governor
• Approved by Governor
• Chapter No. 2013-202
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