Raised H.B. No. 5281
Session Year 1998
 


AN ACT CONCERNING THE CONNECTICUT UNIFORM SECURITIES ACT.

To conform the definition of "investment adviser agent" to the federal definition of "investment adviser representative"; to substitute a notice requirement in lieu of the registration requirement for branch offices of federally registered investment advisers; to permit the Commissioner of Banking to deem any securities registration to be abandoned for failure to respond to a request for information; to clarify that all foreign securities approved for margin by the Board of Governors of the Federal Reserve System are exempt from registration; to limit use of the manual exemption to securities for which a trading market has been established; to exempt from registration transactions made pursuant to Securities and Exchange Commission Rule 701; to require persons subject to the jurisdiction of the commissioner to make records available to the commissioner and furnish access to areas where records may be located; to make a technical amendment to conform terminology relating to administrative fines; and to exempt Connecticut's securities laws from the preemptive effect of the Philanthropy Protection Act of 1995.

Introduced by:
Banking Committee

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Co-sponsors for Amendment LCO:

Bill History

 Date Action Taken
 6/4/1998Signed by the Governor
 5/20/1998Transmitted to the Secretary of State
 5/14/1998(LCO)Public Act 98-162
 5/5/1998Senate Passed as Amended by House Amendment Schedule A
 5/5/1998Senate Adopted House Amendment Schedule A
 4/29/1998(LCO)File Number 00632
 4/28/1998Senate Calendar Number 411
 4/28/1998Favorable Report, Tabled for the Calendar, Senate
 4/27/1998House Passed as Amended by House Amendment Schedule A
 4/27/1998House Adopted House Amendment Schedule A 02975
 4/23/1998Tabled for the Calendar, House
 4/23/1998No New File by Committee on Judiciary
 4/23/1998(LCO)Reported Out of Legislative Commissioners' Office
 4/22/1998(JUD)Joint Favorable
 4/22/1998(LCO)Filed with Legislative Commissioners' Office
 4/17/1998Referred by House to Committee on Judiciary
 4/14/1998(LCO)File Number 00501
 4/14/1998House Calendar Number 374
 4/14/1998Favorable Report, Tabled for the Calendar, House
 4/13/1998(LCO)Reported Out of Legislative Commissioners' Office
 4/6/1998(LCO)Referred to Office of Legislative Research and Office of Fiscal Analysis 5:00 PM
 3/27/1998(LCO)Filed with Legislative Commissioners' Office
 3/26/1998(FIN)Joint Favorable
 3/12/1998Favorable Change of Reference, Senate to Committee on Finance, Revenue and Bonding
 3/11/1998Favorable Change of Reference, House to Committee on Finance, Revenue and Bonding
 3/10/1998(LCO)Reported Out of Legislative Commissioners' Office
 3/5/1998(LCO)Filed with Legislative Commissioners' Office
 3/3/1998(BA)Joint Favorable Change of Reference Finance, Revenue and Bonding
 2/12/1998Public Hearing 02/17
 2/11/1998Referred to Joint Committee on Banking

Co-sponsors of HB-5281

REP. ANTHONY J. TERCYAK, 26th Dist.

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