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.
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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5/2/2013 Senate • Withdrawn from Banking and Insurance; Commerce and Tourism; Judiciary -SJ 1018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
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CS/HB 783, Enrolled (Current Bill Version) Posted 5/3/2013 at 1:36 PM
Bill Text: PDF Analyses: None Related Bills (1)
Bill Number Subject Filed By Relationship Last Action and Location Track Bills S 814 (c1) Branch Offices Conducting Securities Transactions Brandes Similar Last Action: 5/2/2013 S Laid on Table, companion bill(s) passed, see CS/HB 783 (Ch. 2013-202) -SJ 1019
Location: Laid on Table
Citations - Statutes (7)
Citation Catchline Location in Bill Location In Bill Help 517.12 Registration of dealers, associated persons, investment advisers, and branch offices. Page 2 (pdf) 517.1202 Page 6 (pdf) 517.1205 Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval. Page 9 (pdf) 517.121 Books and records requirements; examinations. Page 10 (pdf) 517.161 Revocation, denial, or suspension of registration of dealer, investment adviser, associated person, or branch office. Page 10 (pdf) 517.1611 Guidelines. Page 11 (pdf) 517.211 Remedies available in cases of unlawful sale. Page 12 (pdf) -
CS/HB 783, Committee Substitute 1 Posted 3/26/2013 at 4:53 PM
Bill Text: PDF Analyses: Regulatory Affairs Committee (Post-Meeting) 4/4/2013 (pdf)
Related Bills (1)
Bill Number Subject Filed By Relationship Last Action and Location Track Bills S 814 (c1) Branch Offices Conducting Securities Transactions Brandes Similar Last Action: 5/2/2013 S Laid on Table, companion bill(s) passed, see CS/HB 783 (Ch. 2013-202) -SJ 1019
Location: Laid on Table
Floor Votes (2)
Date Chamber Result 4/24/2013 5:03 PM House 114 Yeas - 0 Nays 5/3/2013 10:30 AM Senate 39 Yeas - 0 Nays Citations - Statutes (7)
Citation Catchline Location in Bill Location In Bill Help 517.12 Registration of dealers, associated persons, investment advisers, and branch offices. Page 2 (pdf) 517.1202 Page 6 (pdf) 517.1205 Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval. Page 9 (pdf) 517.121 Books and records requirements; examinations. Page 10 (pdf) 517.161 Revocation, denial, or suspension of registration of dealer, investment adviser, associated person, or branch office. Page 10 (pdf) 517.1611 Guidelines. Page 11 (pdf) 517.211 Remedies available in cases of unlawful sale. Page 12 (pdf) -
HB 783, Original Filed Version Posted 2/13/2013 at 5:30 PM
Bill Text: PDF Analyses: Insurance and Banking Subcommittee (Post-Meeting) 7/10/2013 (pdf)
Related Bills (1)
Bill Number Subject Filed By Relationship Last Action and Location Track Bills S 814 Registration of Branch Offices Conducting Securities Transactions Brandes Identical Last Action: 5/2/2013 S Laid on Table, companion bill(s) passed, see CS/HB 783 (Ch. 2013-202) -SJ 1019
Location: Laid on Table
Committee Amendments (1)
Amendment Sponsor Filed Last Committee Action Format 407323 - Strike All Amendment
Remove everything after the enacting clause and insert:Eagle 3/18/2013
7:25 PMAdopted without Objection
3/19/2013PDF Citations - Statutes (1)
Citation Catchline Location in Bill Location In Bill Help 517.12 Registration of dealers, associated persons, investment advisers, and branch offices. Page 1 (pdf)