SB 1880: Offers and Sales of Securities
GENERAL BILL by Gruters
Offers and Sales of Securities; Excluding certain securities offers and sales by specified persons from the exemption from specified registration requirements; revising requirements for securities offers and sales that are exempt transactions under specified laws; revising the information and documents that the Office of Financial Regulation may require for securities registration; revising circumstances under which the office may revoke or suspend securities registrations; deleting issuers of securities from the list of persons that may not offer for sale or sell securities without being registered; requiring finders to maintain certain books and records, etc.
Last Action: 3/14/2022 Senate - Died in Banking and Insurance
Bill Text: Web Page | PDF
Date Chamber Action 1/10/2022 Senate • Filed
1/12/2022 Senate • Referred to Banking and Insurance; Appropriations Subcommittee on Agriculture, Environment, and General Government; Appropriations -SJ 163
1/18/2022 Senate • Introduced -SJ 162
3/12/2022 Senate • Indefinitely postponed and withdrawn from consideration
3/14/2022 Senate • Died in Banking and Insurance
SB 1880, Original Filed Version (Current Bill Version) Posted 1/10/2022 at 8:37 AM
Bill Text: Web Page | PDF Analyses: None
Related Bills (1)
Bill Number Subject Filed By Relationship Last Action and Location Track Bills H 779 Offers and Sales of Securities Harding Identical Last Action: 3/14/2022 H Died in Insurance & Banking Subcommittee
Citations - Statutes (20)
Citation Catchline Location in Bill Location In Bill Help 517.021 Definitions. Page 5 (pdf) 517.061 Exempt transactions. Page 20 (pdf) 517.0611 Intrastate crowdfunding. Page 37 (pdf) 517.072 Viatical settlement investments. Page 54 (pdf) 517.075 Cuba, prospectus disclosure of doing business with, required. Page 92 (pdf) 517.081 Registration procedure. Page 54 (pdf) 517.082 Notification registration. Page 65 (pdf) 517.111 Revocation or denial of registration of securities. Page 67 (pdf) 517.12 Registration of dealers, associated persons, intermediaries, and investment advisers. Page 70 (pdf) 517.121 Books and records requirements; examinations. Page 83 (pdf) 517.1217 Rules of conduct and prohibited business practices for dealers and their associated persons. Page 83 (pdf) 517.131 Securities Guaranty Fund. Page 93 (pdf) 517.161 Revocation, denial, or suspension of registration of dealer, investment adviser, intermediary, or associated person. Page 84 (pdf) 517.1611 Guidelines. Page 89 (pdf) 517.181 Escrow agreement. Page 90 (pdf) 517.191 Injunction to restrain violations; civil penalties; enforcement by Attorney General. Page 90 (pdf) 517.211 Remedies available in cases of unlawful sale. Page 93 (pdf) 517.315 Fees. Page 95 (pdf) 626.9911 Definitions. Page 92 (pdf) 744.351 Bond of guardian. Page 93 (pdf)
Companion bills that are identical word-for-word, not including titles. However, Resolutions and Concurrent Resolutions are considered identical if the only difference is the word "House" or "Senate."
Companion bills that are substantially similar in text or have substantial portions of text that are largely the same.
Bills that have selected provisions that are similar in text.
A bill that is contingent upon passage of another bill within the same chamber, e.g., a trust fund bill, a bill providing a public record exemption, or an implementing bill.
The page numbers, when listed, for citations are constantly under review. The journals or printed bills of the respective chambers should be consulted as the official documents of the Legislature.
The links for the page numbers are formatted to open the bill text PDF directly to the page containing the citation. However, if your browser is set to open PDFs in a new window, as is often the case with 64-bit browsers, the bill text will open to the first page.