HB 439 Securities; investment advisors and representatives.
Harry R. Purkey | all patrons    ...    notes
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Summary:
Securities; investment advisors and representatives. Revises and clarifies the definitions of "broker-dealer," "federal covered advisor" and "investment advisor representative" within the Virginia Securities Act. The bill also provides that a federal covered advisor must file documents and pay applicable fees as required by rules and orders of the Commission in order to lawfully transact business in the Commonwealth.

Full text:
01/16/98  House: Presented & ordered printed 980768845  pdf
01/26/98  House: Printed as engrossed 980768845-E  pdf
02/20/98  House: Bill text as passed House and Senate (HB439ER)  pdf
03/10/98  Governor: Acts of Assembly Chapter text (CHAP0022)  pdf

Amendments:
House amendments

Status:
01/16/98  House: Presented & ordered printed 980768845
01/16/98  House: Referred to Committee on Corporations, Insurance and Banking
01/22/98  House: Assigned to C. I. B. sub-committee: 2
01/22/98  House: Reported from C. I. B. w/amd. (25-Y 0-N)
01/23/98  House: Read first time
01/26/98  House: Read second time
01/26/98  House: Committee amendment agreed to
01/26/98  House: Engrossed by House as amended
01/26/98  House: Printed as engrossed 980768845-E
01/27/98  House: Read third time and passed House (Block Vote) (95-Y 0-N)
01/27/98  House: VOTE: BLOCK VOTE PASSAGE (95-Y 0-N)
01/27/98  House: Communicated to Senate
01/28/98  Senate: Constitutional reading dispensed
01/28/98  Senate: Referred to Committee on Commerce and Labor
02/16/98  Senate: Reported from Commerce and Labor (14-Y 0-N)
02/17/98  Senate: Const. reading disp., passed by for the day (40-Y 0-N)
02/17/98  Senate: VOTE: CONST. RDG. DISPENSED R (40-Y 0-N)
02/18/98  Senate: Read third time
02/18/98  Senate: Passed Senate (40-Y 0-N)
02/18/98  Senate: VOTE: PASSAGE R (40-Y 0-N)
02/20/98  House: Bill text as passed House and Senate (HB439ER)
02/27/98  House: Enrolled
02/27/98  House: Signed by Speaker
02/27/98  Senate: Signed by President
03/09/98  Governor: Approved by Governor-Chapter 22 (effective 7/1/98)
03/10/98  Governor: Acts of Assembly Chapter text (CHAP0022)