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.
Last Action: 4/17/2019 House - CS passed; YEAS 117 NAYS 0 -HJ 694
Bill Text: PDF
• Referred to Insurance and Banking Subcommittee; Government Operations and Technology Appropriations Subcommittee; Commerce Committee -HJ 33
• On Committee agenda-- Insurance and Banking Subcommittee, 01/23/19, 4:00 pm, Sumner Hall -- Removed from meeting agenda
• Introduced -HJ 33
• PCS on Committee agenda-- Insurance and Banking Subcommittee, 03/13/19, 12:30 pm, Sumner Hall
• CS by Insurance and Banking Subcommittee; YEAS 13 NAYS 0 -HJ 441
• Pending review of CS under Rule 7.18(c)
• CS by Insurance and Banking Subcommittee read 1st time -HJ 435
• Now in Government Operations and Technology Appropriations Subcommittee -HJ 445
• On Committee agenda-- Government Operations and Technology Appropriations Subcommittee, 03/26/19, 12:00 pm, Morris Hall
• Favorable by Government Operations and Technology Appropriations Subcommittee; YEAS 9 NAYS 0 -HJ 519
• Now in Commerce Committee -HJ 519
• On Committee agenda-- Commerce Committee, 04/04/19, 8:00 am, Webster Hall
• CS/CS by- Commerce Committee; YEAS 20 NAYS 0 -HJ 598
• Pending review of CS -under Rule 7.18(c)
• Placed on Calendar -HJ 597
• CS/CS by Commerce Committee read 1st time -HJ 595
• Placed on Special Order Calendar, 04/17/19
• Read 2nd time -HJ 693
• Read 3rd time -HJ 693
• CS passed; YEAS 117 NAYS 0 -HJ 694
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