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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.

Effective Date: 7/1/2016
Last Action: 3/25/2016 - Chapter No. 2016-111
Bill Text: Web Page | PDF
Senate Committee References:
  1. Banking and Insurance (BI)
  2. Appropriations Subcommittee on General Government (AGG)
  3. 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)

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  • 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)

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  • CS/SB 286, Committee Substitute 1 Posted 12/3/2015 at 3:16 PM

    Bill Text:   Web Page | PDF
    Analyses:   Appropriations Subcommittee on General Government (Pre-Meeting) 1/12/2016 (pdf)
    Appropriations Subcommittee on General Government (Post-Meeting) 1/13/2016 (pdf)
    Fiscal Policy (Pre-Meeting) 1/19/2016 (pdf)
    Fiscal Policy (Post-Meeting) 1/21/2016 (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 PM
    Replaced by Committee Substitute
    1/20/2016
    Web Page
    PDF

    Committee 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)

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  • 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 PM
    Replaced by Committee Substitute
    12/1/2015
    Web Page
    PDF

    Committee 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)

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