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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: 4/17/2019 House - CS passed; YEAS 117 NAYS 0 -HJ 694
Bill Text: PDF



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