CS/CS/SB 286: Merger and Acquisition Brokers
GENERAL BILL by Fiscal Policy ; Banking and Insurance ; Brandes
Merger and Acquisition Brokers; Providing an exemption from certain registration requirements with the Office of Financial Regulation for a specified offer or sale of securities; requiring a merger and acquisition broker to receive certain written assurances from a specified person prior to the completion of specified securities transactions; providing an exemption from certain registration requirements with the office for a merger and acquisition broker under certain circumstances; specifying disqualifying conditions for the exemption, etc.
Senate Committee References:
- Banking and Insurance (BI)
- Appropriations Subcommittee on General Government (AGG)
- Fiscal Policy (FP)
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Bill History
Date Chamber Action 9/11/2015 Senate • Filed
9/17/2015 Senate • Referred to Banking and Insurance; Appropriations Subcommittee on General Government; Fiscal Policy -SJ 23
11/23/2015 Senate • On Committee agenda-- Banking and Insurance, 12/01/15, 1:00 pm, 110 Senate Office Building
12/1/2015 Senate • CS by Banking and Insurance; YEAS 11 NAYS 0
12/3/2015 Senate • Pending reference review under Rule 4.7(2) - (Committee Substitute)
• Now in Appropriations Subcommittee on General Government
1/8/2016 Senate • On Committee agenda-- Appropriations Subcommittee on General Government, 01/13/16, 1:30 pm, 110 Senate Office Building
1/12/2016 Senate • Introduced -SJ 23
• CS by Banking and Insurance read 1st time -SJ 111
1/13/2016 Senate • Subcommittee Recommendation: Favorable by Appropriations Subcommittee on General Government; YEAS 6 NAYS 1 -SJ 185
1/14/2016 Senate • Now in Fiscal Policy -SJ 185
1/15/2016 Senate • On Committee agenda-- Fiscal Policy, 01/20/16, 4:00 pm, 412 Knott Building
1/20/2016 Senate • CS/CS by- Fiscal Policy; YEAS 10 NAYS 0 -SJ 239
1/21/2016 Senate • Pending reference review -under Rule 4.7(2) - (Committee Substitute)
• Placed on Calendar, on 2nd reading -SJ 239
• CS/CS by Fiscal Policy read 1st time -SJ 240
2/18/2016 Senate • Placed on Special Order Calendar, 02/23/16
2/23/2016 Senate • Read 2nd time -SJ 472
• Placed on 3rd reading
2/24/2016 Senate • Read 3rd time -SJ 490
• CS passed; YEAS 40 NAYS 0 -SJ 490
• Immediately certified -SJ 494
2/24/2016 House • In Messages
3/1/2016 House • Referred to Calendar -HJ 634
• Placed on Special Order Calendar, 03/03/16
• Received -HJ 634
3/3/2016 House • Substituted for CS/CS/HB 817 -HJ 723
• Read 2nd time -HJ 723
• Placed on 3rd reading
3/4/2016 House • Read 3rd time -HJ 739
• CS passed; YEAS 117 NAYS 0 -HJ 739
3/4/2016 Senate • Ordered enrolled -SJ 732
3/11/2016 • Signed by Officers and presented to Governor -SJ 1437
3/25/2016 • Approved by Governor
• Chapter No. 2016-111
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CS/CS/SB 286, Enrolled (Current Bill Version) Posted 3/4/2016 at 12:44 PM
Bill Text: Web Page | PDF Analyses: None Related Bills (1)
Bill Number Subject Filed By Relationship Last Action and Location Track Bills H 817 (c2) Merger and Acquisition Brokers Raulerson Similar Last Action: 3/3/2016 H Laid on Table, companion bill(s) passed, see CS/CS/SB 286 (Ch. 2016-111) -HJ 723
Location: Laid on Table
Citations - Statutes (2)
Citation Catchline Location in Bill Location In Bill Help 517.061 Exempt transactions. Page 1 (pdf) 517.12 Registration of dealers, associated persons, intermediaries, and investment advisers. Page 2 (pdf) -
CS/CS/SB 286, Committee Substitute 2 Posted 1/21/2016 at 3:12 PM
Bill Text: Web Page | PDF Analyses: None Related Bills (1)
Bill Number Subject Filed By Relationship Last Action and Location Track Bills H 817 (c2) Merger and Acquisition Brokers Raulerson Similar Last Action: 3/3/2016 H Laid on Table, companion bill(s) passed, see CS/CS/SB 286 (Ch. 2016-111) -HJ 723
Location: Laid on Table
Floor Votes (2)
Date Chamber Result 2/24/2016 5:03 PM Senate 40 Yeas - 0 Nays 3/4/2016 11:17 AM House 117 Yeas - 0 Nays Citations - Statutes (2)
Citation Catchline Location in Bill Location In Bill Help 517.061 Exempt transactions. Page 1 (pdf) 517.12 Registration of dealers, associated persons, intermediaries, and investment advisers. Page 2 (pdf) -
CS/SB 286, Committee Substitute 1 Posted 12/3/2015 at 3:16 PM
Bill Text: Web Page | PDF Related Bills (1)
Bill Number Subject Filed By Relationship Last Action and Location Track Bills H 817 (c1) Merger and Acquisition Brokers Raulerson Similar Last Action: 3/3/2016 H Laid on Table, companion bill(s) passed, see CS/CS/SB 286 (Ch. 2016-111) -HJ 723
Location: Laid on Table
Committee Amendments (1)
Amendment Sponsor Filed Last Committee Action Format 729652 - Amendment
Delete line 72 and insert:Fiscal Policy
(Hays)1/19/2016
3:46 PMReplaced by Committee Substitute
1/20/2016Web Page
PDFCommittee Votes (2)
Date Committee Result 1/13/2016 1:30 PM Appropriations Subcommittee on General Government 6 Yeas - 1 Nays 1/20/2016 4:00 PM Fiscal Policy 10 Yeas - 0 Nays Citations - Statutes (2)
Citation Catchline Location in Bill Location In Bill Help 517.061 Exempt transactions. Page 1 (pdf) 517.12 Registration of dealers, associated persons, intermediaries, and investment advisers. Page 2 (pdf) -
SB 286, Original Filed Version Posted 9/11/2015 at 4:32 PM
Bill Text: Web Page | PDF Analyses: Banking and Insurance (Pre-Meeting) 11/30/2015 (pdf)
Banking and Insurance (Post-Meeting) 12/3/2015 (pdf)
Related Bills (1)
Bill Number Subject Filed By Relationship Last Action and Location Track Bills H 817 Mergers and Acquisitions Brokers Raulerson Identical Last Action: 3/3/2016 H Laid on Table, companion bill(s) passed, see CS/CS/SB 286 (Ch. 2016-111) -HJ 723
Location: Laid on Table
Committee Amendments (1)
Amendment Sponsor Filed Last Committee Action Format 461312 - Amendment (Delete All)
Delete everything after the enacting clause and insert:Banking and Insurance
(Negron)11/30/2015
1:09 PMReplaced by Committee Substitute
12/1/2015Web Page
PDFCommittee Votes (1)
Date Committee Result 12/1/2015 1:00 PM Banking and Insurance 11 Yeas - 0 Nays Citations - Statutes (2)
Citation Catchline Location in Bill Location In Bill Help 517.061 Exempt transactions. Page 1 (pdf) 517.12 Registration of dealers, associated persons, intermediaries, and investment advisers. Page 2 (pdf)