AN ORDER to repeal DFI-Sec 4.03 (6); to renumber DFI-Sec 4.03 (7); to amend DFI-Sec 4.05 (5); and to repeal and recreate DFI-Sec 4.03 (1) to (4), relating to securities broker-dealer books and record-keeping requirements.
Submitted by DEPARTMENT OF FINANCIAL INSTITUTIONS
| Date | Action | |
|---|---|---|
| 8/31/2003 | 572B: Rules Submitted to Legislature | |
| 10/31/2003 | 574B: Rules Filed | |
| 11/30/2003 | 575B: Rules Published |
| Date | Action | Journal |
|---|---|---|
| 7/7/2003 | Received by Legislative Council. | |
| 8/4/2003 | Report sent to Agency. |
| Date / House | Action | Journal |
|---|---|---|
| 8/12/2003 Asm. | Report received from Agency | |
| 8/14/2003 Asm. | Referred to committee on Financial Institutions | |
| 9/14/2003 Asm. | No action taken. |
| Date / House | Action | Journal |
|---|---|---|
| 8/12/2003 Sen. | Report received from Agency | |
| 8/13/2003 Sen. | Referred to committee on Agriculture, Financial Institutions and Insurance | |
| 9/13/2003 Sen. | No action taken | |
| 12/3/2003 Sen. | Effective date 12-1-2003 |
