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CS/SB 814: Branch Offices Conducting Securities Transactions

GENERAL BILL by Banking and Insurance ; Brandes

Branch Offices Conducting Securities Transactions; Providing for a branch office notice filing with the Office of Financial Regulation in lieu of registration; prohibiting a securities dealer or investment advisor from conducting business from a branch office unless a specified notice has been filed with the office; providing for expiration, renewal, suspension, revocation, and termination of branch office notice filings under specified circumstances, etc.

Effective Date: 10/1/2013
Last Action: 5/2/2013 Senate - Laid on Table, companion bill(s) passed, see CS/HB 783 (Ch. 2013-202) -SJ 1019
Location: Laid on Table
Bill Text: Web Page | PDF
Senate Committee References:
  1. Banking and Insurance (BI)
  2. Commerce and Tourism (CM)



Bill History

Date Chamber Action
2/12/2013 Senate • Filed
2/19/2013 Senate • Referred to Banking and Insurance; Commerce and Tourism; Judiciary -SJ 59
3/5/2013 Senate • Introduced -SJ 59
4/4/2013 Senate • On Committee agenda-- Banking and Insurance, 04/09/13, 1:30 pm, 110 Senate Office Building
4/9/2013 Senate • CS by Banking and Insurance; YEAS 10 NAYS 0 -SJ 422
4/11/2013 Senate • Pending reference review under Rule 4.7(2) - (Committee Substitute)
• Now in Commerce and Tourism -SJ 422
• CS by Banking and Insurance read 1st time -SJ 424
4/12/2013 Senate • On Committee agenda-- Commerce and Tourism, 04/15/13, 3:30 pm, 110 Senate Office Building
4/15/2013 Senate • Favorable by Commerce and Tourism; YEAS 11 NAYS 0 -SJ 476
• Now in Judiciary -SJ 476
4/30/2013 Senate • Withdrawn from Judiciary -SJ 881
• Placed on Calendar, on 2nd reading
• Placed on Special Order Calendar, 05/02/13
5/2/2013 Senate • Read 2nd time -SJ 10108
• Substituted CS/HB 783 -SJ 1018
• Laid on Table, companion bill(s) passed, see CS/HB 783 (Ch. 2013-202) -SJ 1019