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Glossary of Legislative Terms

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
Bill Text: Web Page | PDF
Senate Committee References:
  1. Banking and Insurance (BI)
  2. Commerce and Tourism (CM)

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  • 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    4/30/2013 Senate • Withdrawn from Judiciary -SJ 881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

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  • CS/SB 814, Committee Substitute 1 (Current Bill Version) Posted 4/11/2013 at 8:26 AM

    Bill Text:   Web Page | PDF
    Analyses:   Commerce and Tourism (Pre-Meeting) 4/12/2013 (pdf)
    Commerce and Tourism (Post-Meeting) 4/15/2013 (pdf)

    Related Bills (1)

    Bill Number Subject Filed By Relationship Last Action and Location Track Bills
    H 783 (er) Branch Offices Conducting Securities Transactions Eagle Similar Last Action: 6/17/2013 Chapter No. 2013-202
    Location: Became Law     		Track This Bill

    Committee Votes (1)

    Date Committee Result
    4/15/2013 3:30 PM Commerce and Tourism 11 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 8 (pdf)
    517.121 Books and records requirements; examinations. Page 9 (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 11 (pdf)

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  • SB 814, Original Filed Version Posted 2/12/2013 at 2:19 PM

    Bill Text:   Web Page | PDF
    Analyses:   Banking and Insurance (Pre-Meeting) 4/8/2013 (pdf)
    Banking and Insurance (Post-Meeting) 4/11/2013 (pdf)

    Related Bills (1)

    Bill Number Subject Filed By Relationship Last Action and Location Track Bills
    H 783 (c1) Branch Offices Conducting Securities Transactions Eagle Compare Last Action: 6/17/2013 Chapter No. 2013-202
    Location: Became Law     		Track This Bill

    Committee Amendments (1)

    Amendment Sponsor Filed Last Committee Action Format
    837952 - Amendment (Delete All)
    Delete everything after the enacting clause and insert:     		Banking and Insurance
    (Montford)     		4/8/2013
    1:18 PM     		Replaced by Committee Substitute
    4/9/2013     		Web Page
    PDF

    Committee Votes (1)

    Date Committee Result
    4/9/2013 1:30 PM Banking and Insurance 10 Yeas - 0 Nays

    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)

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