Bill Summary

HB 143 Protection of Vulnerable Investors (2019 Session)
Protection of Vulnerable Investors: Requires securities dealers, investment advisers, & associated persons to report abuse, neglect, or exploitation of vulnerable adults to DCF's central abuse hotline; authorizes dealers & advisers to delay transaction or disbursement of funds or securities based on reasonable belief of exploitation of specified adults; provides notice requirements; authorizes DCF to provide status of investigations to certain persons; requires dealers or advisers to make certain records available to OFR; provides specified immunity for certain persons. Effective Date: July 1, 2019
01/02/19
HOUSE 
Filed
01/09/19
HOUSE 
Referred to Insurance & Banking Subcommittee; Government Operations & Technology Appropriations Subcommittee; Commerce Committee
01/09/19
HOUSE 
Now in Insurance & Banking Subcommittee
03/11/19
HOUSE 
On Committee agenda - Insurance & Banking Subcommittee, 03/13/19, 12:30 pm, 404 H - PCS
03/13/19
HOUSE 
Favorable with CS by Insurance & Banking Subcommittee; 13 Yeas, 0 Nays
03/14/19
HOUSE 
Committee Substitute Text (C1) Filed
03/15/19
HOUSE 
Now in Government Operations & Technology Appropriations Subcommittee
03/22/19
HOUSE 
On Committee agenda - Government Operations & Technology Appropriations Subcommittee, 03/26/19, 12:00 pm, 17 H
03/26/19
HOUSE 
Favorable by Government Operations & Technology Appropriations Subcommittee; 9 Yeas, 0 Nays
03/26/19
HOUSE 
Now in Commerce Committee
04/02/19
HOUSE 
On Committee agenda - Commerce Committee, 04/04/19, 8:00 am, 212 K
04/04/19
HOUSE 
Favorable with CS by Commerce Committee; 20 Yeas, 0 Nays
04/05/19
HOUSE 
Committee Substitute Text (C2) Filed
04/08/19
HOUSE 
Placed on Calendar, on 2nd reading
04/11/19
HOUSE 
Placed on Special Order Calendar, 04/17/19
04/17/19
HOUSE 
Read Second Time; Read Third Time; Passed (Vote: 117 Yeas / 0 Nays)
04/24/19
SENATE
In Messages
04/24/19
SENATE
Received; Referred to Children, Families, and Elder Affairs; Banking and Insurance; Rules
05/03/19
SENATE
Indefinitely postponed and withdrawn from consideration
05/03/19
SENATE
Died in Children, Families, and Elder Affairs
0143
Filed on 01/02/19
PDF
Amendment 10000 PCS
Filed on 03/11/19
Adopted
0143C1
Filed on 03/14/19
PDF
Amendment 985785
Filed on 04/03/19
Adopted
Amendment 859103
Filed on 04/03/19
Adopted
Amendment 589817
Filed on 04/03/19
Adopted
0143C2
Filed on 04/05/19
PDF
No amendments to this bill text filed.
415.1034
517.34
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