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CS/CS/HB 813: Protection of Vulnerable Investors

GENERAL BILL by Commerce Committee ; Insurance and Banking Subcommittee ; McClure ; Silvers ; (CO-INTRODUCERS) Brown ; Perez ; Zika

Protection of Vulnerable Investors; Requires securities dealers, investment advisers, & associated persons to report knowledge or suspicion of abuse, neglect, or exploitation of vulnerable adults to DCF; authorizes dealers & investment advisers to delay certain disbursements or transactions based on reasonable belief of financial exploitation of specified adult; requires dealer or investment adviser to notify certain persons & OFR of such delays within specified timeframe; authorizes dealer or investment adviser to extend delay; provides that length of such delays may be shortened or extended by court of competent jurisdiction; provides immunity from administrative & civil liability for dealers, investment advisers, & associated persons; requires dealers & investment advisers to develop certain training policies or programs & maintain written records of compliance.

Effective Date: 7/1/2020
Last Action: 7/1/2020 - Chapter No. 2020-157
Bill Text: PDF



Bill History

Date Chamber Action
11/26/2019 House • Filed
12/16/2019 House • Referred to Insurance and Banking Subcommittee; Children, Families and Seniors Subcommittee; Commerce Committee -HJ 69
1/13/2020 House • On Committee agenda-- Insurance and Banking Subcommittee, 01/15/20, 3:30 pm, Sumner Hall
1/14/2020 House • Introduced -HJ 69
1/15/2020 House • CS by Insurance and Banking Subcommittee; YEAS 15 NAYS 0 -HJ 396
1/16/2020 House • Pending review of CS under Rule 7.18(c)
• CS by Insurance and Banking Subcommittee read 1st time -HJ 382
1/20/2020 House • Now in Children, Families and Seniors Subcommittee -HJ 410
1/27/2020 House • On Committee agenda-- Children, Families and Seniors Subcommittee, 01/29/20, 9:00 am, 12 HOB
1/29/2020 House • Favorable by Children, Families and Seniors Subcommittee; YEAS 11 NAYS 0 -HJ 464
• Now in Commerce Committee -HJ 464
2/4/2020 House • On Committee agenda-- Commerce Committee, 02/06/20, 9:00 am, Webster Hall
2/6/2020 House • CS/CS by- Commerce Committee; YEAS 22 NAYS 0 -HJ 530
2/10/2020 House • Pending review of CS -under Rule 7.18(c)
• CS/CS by Commerce Committee read 1st time -HJ 529
2/11/2020 House • Placed on Calendar -HJ 568
2/13/2020 House • Placed on Special Order Calendar, 02/19/20
2/19/2020 House • Read 2nd time -HJ 588
• Placed on 3rd reading
2/20/2020 House • Read 3rd time -HJ 610
• CS passed; YEAS 118 NAYS 0 -HJ 610
2/26/2020 Senate • In Messages
2/27/2020 Senate • Referred to Banking and Insurance; Judiciary; Rules -SJ 366
3/2/2020 Senate • Received -SJ 366
3/11/2020 Senate • Withdrawn from Banking and Insurance; Judiciary; Rules -SJ 699
• Placed on Calendar, on 2nd reading
• Substituted for CS/SB 1672 -SJ 699
• Read 2nd time -SJ 699
• Placed on 3rd reading
3/12/2020 Senate • Read 3rd time -SJ 731
• CS passed; YEAS 38 NAYS 0 -SJ 731
3/12/2020 House • Ordered enrolled -HJ 1171
6/17/2020 • Signed by Officers and presented to Governor
6/30/2020 • Approved by Governor
7/1/2020 • Chapter No. 2020-157