Relating to: the licensing of securities broker-dealers, agents, investment advisers and investment adviser representatives; the regulation of investment adviser representatives; and requirements for changing a franchise registration (suggested as remedial legislation by the department of financial institutions). relating to: the licensing of securities broker-dealers, agents, investment advisers and investment adviser representatives; the regulation of investment adviser representatives; and requirements for changing a franchise registration (suggested as remedial legislation by the department of financial institutions).
| Date / House | Action | Journal |
|---|---|---|
| 3/28/2000 Asm. | Introduced by LAW REVISION COMMITTEE. | |
| 3/28/2000 Asm. | Read first time and referred to committee on Financial Institutions | |
| 4/6/2000 Asm. | Failed to pass pursuant to Senate Joint Resolution 1 |
