Senate

Senate
Record of Committee Proceedings

Committee on Labor, Transportation and Financial Institutions

Assembly Bill 831

Relating to: the regulation of investment advisers and investment adviser representatives, the registration of securities and granting rule-making authority.

By the Committee on Financial Institutions, by request of the Department of Financial Institutions.

March 19, 1998 Referred to committee on Labor, Transportation and Financial Institutions.

March 24, 1998 PUBLIC HEARING HELD

Present: (6) Senators Plache, Moore, Decker, Zien, Darling and Farrow.

Absent: (0) None.

Appearances for

· Richard Dean, Secretary of Dept. of Financial Institutions

· Patricia D. Struck, DFI Division of Securities

Appearances against

· None.

Appearances for Information Only

· None.

Registrations for

· Rep. David Ward

Registrations against

· None.

March 24, 1998 EXECUTIVE SESSION

Present: (6) Senators Plache, Moore, Decker, Zien, Darling and Farrow.

Absent: (0) None.

Moved by Senator Decker, seconded by Senator Moore, that Assembly Bill 831

be recommended for concurrence.

Ayes: (6) Senators Plache, Moore, Decker, Zien, Darling and Farrow.

Noes: (0) None.

Absent: (0) None.

CONCURRENCE RECOMMENDED, Ayes 6, Noes 0, Absent 0

John G. Anderson

Committee Clerk