Donald Wagner
- Republican
Author
Existing law, the Corporate Securities Law of 1968, defines a broker-dealer as, among other things, any person engaged in the business of effecting securities transactions in California for the account of others or his or her own account, and it specifies those persons or entities excluded from the definition. Pursuant to the Governor's Reorganization Plan No. 2 of 2012 (GRP 2) , the regulation of corporations is transferred, effective July 1, 2013, from the Commissioner of Corporations to the Commissioner of Business Oversight. This bill would add to the persons excluded from the definition of a broker-dealer an individual who is a finder, as defined, who satisfied specified requirements, including, among other things, filing an initial statement of information with the Department of Business Oversight and paying a filing fee. The bill also would make technical changes to conform with the GRP 2.
From Senate committee without further action.
In committee: Held under submission.
From committee chair, with author's amendments: Amend, and re-refer to committee. Read second time, amended, and re-referred to Com. on APPR.
In committee: Placed on APPR. suspense file.
In committee: Set, second hearing. Hearing canceled at the request of author.
In committee: Set, first hearing. Hearing canceled at the request of author.
From committee: Do pass and re-refer to Com. on APPR. (Ayes 8. Noes 0.) (June 4). Re-referred to Com. on APPR.
From committee chair, with author's amendments: Amend, and re-refer to committee. Read second time, amended, and re-referred to Com. on B. & F.I.
In Senate. Read first time. To Com. on RLS. for assignment.
Read third time. Passed. Ordered to the Senate. (Ayes 73. Noes 1. Page 3684.)
Read second time. Ordered to third reading.
In committee: Set, first hearing. Referred to APPR. suspense file.
From committee: Do pass. (Ayes 16. Noes 0.) (January 23).
Read second time and amended.
From committee: Do pass as amended and re-refer to Com. on APPR. (Ayes 12. Noes 0.) (January 6).
From committee chair, with author's amendments: Amend, and re-refer to Com. on B. & F. Read second time and amended.
In committee: Set, first hearing. Hearing canceled at the request of author.
From printer. May be heard in committee March 24.
Read first time. To print.
| Bill Text Versions | Format |
|---|---|
| AB713 | HTML |
| 02/21/13 - Introduced | |
| 01/06/14 - Amended Assembly | |
| 01/14/14 - Amended Assembly | |
| 05/23/14 - Amended Senate | |
| 08/04/14 - Amended Senate |
| Document | Format |
|---|---|
| No related documents. |
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