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• Withdrawn from Banking and Insurance; Judiciary; Rules -SJ 699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