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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.

Effective Date: 10/1/2013
Last Action: 6/17/2013 - Chapter No. 2013-202
Bill Text: PDF



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5/2/2013 Senate • Withdrawn from Banking and Insurance; Commerce and Tourism; Judiciary -SJ 1018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