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CS/CS/HB 143: Protection of Vulnerable Investors

GENERAL BILL by Commerce Committee ; Insurance and Banking Subcommittee ; Donalds ; Brown ; (CO-INTRODUCERS) Caruso ; Cortes ; Driskell ; Eskamani ; Fetterhoff ; Silvers ; Watson, B. ; Yarborough

Protection of Vulnerable Investors; Requires securities dealers, investment advisers, & associated persons to report abuse, neglect, or exploitation of vulnerable adults to DCF's central abuse hotline; authorizes dealers & advisers to delay transaction or disbursement of funds or securities based on reasonable belief of exploitation of specified adults; provides notice requirements; authorizes DCF to provide status of investigations to certain persons; requires dealers or advisers to make certain records available to OFR; provides specified immunity for certain persons.

Effective Date: 7/1/2019
Last Action: 5/3/2019 Senate - Died in Children, Families, and Elder Affairs
Bill Text: PDF
Senate Committee References:
  1. Children, Families, and Elder Affairs (CF)
  2. Banking and Insurance (BI)
  3. Rules (RC)

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  • Bill History

    Date Chamber Action
    1/2/2019 House • Filed
    1/9/2019 House • Referred to Insurance and Banking Subcommittee; Government Operations and Technology Appropriations Subcommittee; Commerce Committee -HJ 33
    1/16/2019 House • On Committee agenda-- Insurance and Banking Subcommittee, 01/23/19, 4:00 pm, Sumner Hall -- Removed from meeting agenda
    3/5/2019 House • Introduced -HJ 33
    3/11/2019 House • PCS on Committee agenda-- Insurance and Banking Subcommittee, 03/13/19, 12:30 pm, Sumner Hall
    3/13/2019 House • CS by Insurance and Banking Subcommittee; YEAS 13 NAYS 0 -HJ 441
    3/14/2019 House • Pending review of CS under Rule 7.18(c)
    3/15/2019 House • CS by Insurance and Banking Subcommittee read 1st time -HJ 435
    • Now in Government Operations and Technology Appropriations Subcommittee -HJ 445
    3/22/2019 House • On Committee agenda-- Government Operations and Technology Appropriations Subcommittee, 03/26/19, 12:00 pm, Morris Hall
    3/26/2019 House • Favorable by Government Operations and Technology Appropriations Subcommittee; YEAS 9 NAYS 0 -HJ 519
    3/26/2019 House • Now in Commerce Committee -HJ 519
    4/2/2019 House • On Committee agenda-- Commerce Committee, 04/04/19, 8:00 am, Webster Hall
    4/4/2019 House • CS/CS by- Commerce Committee; YEAS 20 NAYS 0 -HJ 598
    4/5/2019 House • Pending review of CS -under Rule 7.18(c)
    4/8/2019 House • Placed on Calendar -HJ 597
    4/8/2019 House • CS/CS by Commerce Committee read 1st time -HJ 595
    4/11/2019 House • Placed on Special Order Calendar, 04/17/19
    4/17/2019 House • Read 2nd time -HJ 693
    • Read 3rd time -HJ 693
    • CS passed; YEAS 117 NAYS 0 -HJ 694
    4/23/2019 Senate • In Messages
    4/24/2019 Senate • Referred to Children, Families, and Elder Affairs; Banking and Insurance; Rules -SJ 455
    • Received -SJ 455
    5/3/2019 Senate • Indefinitely postponed and withdrawn from consideration
    • Died in Children, Families, and Elder Affairs

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  • CS/CS/HB 143, Committee Substitute 2 (Current Bill Version) Posted 4/5/2019 at 6:44 PM

    Bill Text:   PDF
    Analyses:   None

    Related Bills (1)

    Bill Number Subject Filed By Relationship Last Action and Location Track Bills
    S 1466 (c1) Protection of Vulnerable Investors Gibson Similar Last Action: 5/3/2019 S Died in Rules

    Floor Votes (1)

    Date Chamber Result
    4/17/2019 1:04 PM House 117 Yeas - 0 Nays

    Citations - Statutes (2)

    Citation Catchline Location in Bill Location In Bill Help
    415.1034 Mandatory reporting of abuse, neglect, or exploitation of vulnerable adults; mandatory reports of death. Page 2 (pdf)
    517.34 Page 4 (pdf)

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  • CS/HB 143, Committee Substitute 1 Posted 3/14/2019 at 4:51 PM

    Bill Text:   PDF
    Analyses:   Government Operations and Technology Appropriations Subcommittee (Post-Meeting) 3/26/2019 (pdf)
    Commerce Committee (Post-Meeting) 4/5/2019 (pdf)

    Related Bills (1)

    Bill Number Subject Filed By Relationship Last Action and Location Track Bills
    S 1466 (c1) Protection of Vulnerable Investors Gibson Similar Last Action: 5/3/2019 S Died in Rules

    Committee Amendments (3)

    Amendment Sponsor Filed Last Committee Action Format
    985785 - Amendment
    Remove lines 77-104 and insert:
    Donalds 4/3/2019
    7:01 PM
    Adopted without Objection
    4/4/2019
    PDF
    859103 - Amendment
    Remove lines 105-110
    Donalds 4/3/2019
    7:01 PM
    Adopted without Objection
    4/4/2019
    PDF
    589817 - Amendment
    Remove line 153 and insert:
    Donalds 4/3/2019
    7:02 PM
    Adopted without Objection
    4/4/2019
    PDF

    Citations - Statutes (2)

    Citation Catchline Location in Bill Location In Bill Help
    415.1034 Mandatory reporting of abuse, neglect, or exploitation of vulnerable adults; mandatory reports of death. Page 2 (pdf)
    517.34 Page 4 (pdf)

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  • HB 143, Original Filed Version Posted 1/2/2019 at 9:18 AM

    Bill Text:   PDF
    Analyses:   Insurance and Banking Subcommittee (Post-Meeting) 3/14/2019 (pdf)

    Related Bills (1)

    Bill Number Subject Filed By Relationship Last Action and Location Track Bills
    S 1466 Protection of Vulnerable Investors Gibson Similar Last Action: 5/3/2019 S Died in Rules

    Citations - Statutes (2)

    Citation Catchline Location in Bill Location In Bill Help
    415.1034 Mandatory reporting of abuse, neglect, or exploitation of vulnerable adults; mandatory reports of death. Page 2 (pdf)
    517.34 Page 4 (pdf)

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