Assembly
Record of Committee Proceedings
Committee on 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.
February 25, 1998 Referred to committee on Financial Institutions.
February 25, 1998
PUBLIC HEARING HELD
Present: (14) Representatives Ward, Hoven, Green, Lazich, Foti, Kedzie, Schafer, Sykora, R. Potter, Travis, La Fave, Meyer, Morris-Tatum and Murat.
Absent: (1) Representative Plale.
· Secretary Richard Dean, Dept. of Financial Institutions
· Patricia Struck, Dept. of Financial Institutions
· None.
· None.
· Dave Anderson, Dept. of Financial Institutions
· None.
March 11, 1998
EXECUTIVE SESSION
Present: (15) Representatives Ward, Hoven, Green, Lazich, Foti, Kedzie, Schafer, Sykora, R. Potter, Travis, La Fave, Meyer, Morris-Tatum, Murat and Plale.
Absent: (0) None.
Moved by Representative Ward, seconded by , that
Assembly Amendment 1
be recommended for introduction and adoption.
Ayes: (15) Representatives Ward, Hoven, Green, Lazich, Foti, Kedzie, Schafer, Sykora, R. Potter, Travis, La Fave, Meyer, Morris-Tatum, Murat and Plale.
Noes: (0) None.
Absent: (0) None.
INTRODUCTION AND ADOPTION RECOMMENDED, Ayes 15, Noes 0, Absent 0
Moved by Representative Plale, seconded by Representative Kedzie, that
Assembly Bill 831
be recommended for passage as amended.
Ayes: (15) Representatives Ward, Hoven, Green, Lazich, Foti, Kedzie, Schafer, Sykora, R. Potter, Travis, La Fave, Meyer, Morris-Tatum, Murat and Plale.
Noes: (0) None.
Absent: (0) None.
PASSAGE AS AMENDED RECOMMENDED, Ayes 15, Noes 0, Absent 0
AKoerner
Committee Clerk