l9n/ Connecticut

2004 Regular Session

Senate Bill 360

AN ACT CONCERNING THE CONNECTICUT UNIFORM SECURITIES ACT.

Became law as Public Act 04-45, signed May 4, 2004, 75 days after it was filed.

What it does

The synopsis the General Assembly published with the bill.

To prohibit a broker-dealer or agent from transacting securities-related business in Connecticut if the transaction would be in contravention of a currently effective sanction imposed by the Securities and Exchange Commission or a self-regulatory organization; to clarify that certain registration and notice provisions of the Connecticut Uniform Securities Act apply only to investment advisers registered or required to be registered under the act; to clarify that all registrations for broker-dealers, investment advisers, agents and investment adviser agents expire on December thirty-first of the year in which they are issued; to modify the payment of securities agent and investment adviser agent transfer fees as the result of a mass transfer; to allow the Banking Commissioner to deny, revoke or suspend the registration of an applicant or registrant when an agent, investment adviser agent or other person charged with exercising supervisory authority on behalf of a broker-dealer or investment adviser fails to perform required supervisory duties; to conform the statute of limitations in civil actions with federal law for intentional misrepresentations or fraud in the purchase or sale of securities, including limited partnerships; and to make technical corrections.

Sponsors

Who carried the bill in each chamber, and who signed on. Each name leads to the member's page.

In the Senate

In the House of Representatives

    2 co-sponsors

    Felipe Reinoso, Anthony J. D'Amelio

    Its course

    February 19 to May 4, 2004, on one scale. In the top row each mark is a day something happened; taller marks are busier days.

    Each committee stop sits inside its chamber.

    Every action22 actions on 14 days

    In the SenateFeb 19 to Apr 1455 days

    Banking CommitteeFeb 19 to Mar 414 days

    Judiciary CommitteeMar 24 to Apr 29 days

    In the House of RepresentativesApr 14 to Apr 217 days

    Waiting to be sentApr 21 to Apr 309 days

    With the GovernorApr 30 to May 44 days

    Text

    Each version as the General Assembly printed it.

    l9n doesn't hold this bill's text yet.

    What happened

    In l9n's words, one line for each step. Every action as the General Assembly published it is below.

    In the Senate Feb 19 – Apr 14

    1. Feb 19Introduced and sent to Banking Committee
    2. Feb 20Heard in Banking Committee
    3. Mar 4Banking Committee recommended it
    4. Mar 24Sent to Judiciary Committee
    5. Apr 2Judiciary Committee recommended it
    6. Apr 14Passed the Senate

    In the House of Representatives Apr 16 – Apr 21

    1. Apr 16Arrived in the House of Representatives
    2. Apr 21Passed the House of Representatives

    To the Governor Apr 29 – May 4

    1. Apr 29Numbered Public Act 04-45
    2. Apr 30Sent to the Secretary of the State
    3. May 4Signed by the Governor
    All 22 actions, as published
    1. Feb 19REF. TO JOINT COMM. ONBoth houses
    2. Feb 20PUBLIC HEARINGBoth houses
    3. Mar 4Joint FavorableBoth houses
    4. Mar 4FILED WITH LCOBoth houses
    5. Mar 9REFERRED TO OLR, OFABoth houses
    6. Mar 16RPTD. OUT OF LCOBoth houses
    7. Mar 16FAV. RPT., TAB. FOR CAL., SEN.Senate
    8. Mar 16SENATE CALENDAR NUMBERSenate
    9. Mar 16FILE NO.Both houses
    10. Mar 24REF. BY SEN. TO COMM. ONSenate
    11. Apr 2Joint FavorableBoth houses
    12. Apr 5FILED WITH LCOBoth houses
    13. Apr 5RPTD. OUT OF LCOBoth houses
    14. Apr 5NO NEW FILE BY COMM. ONBoth houses
    15. Apr 5FAV. RPT., TAB. FOR CAL., SEN.Senate
    16. Apr 14SENATE PASSEDSenate
    17. Apr 16FAV. RPT., TABLED FOR HOUSE CALENDARHouse of Representatives
    18. Apr 16HOUSE CALENDAR NUMBERHouse of Representatives
    19. Apr 21HOUSE PASSEDHouse of Representatives
    20. Apr 29PUBLIC ACTBoth houses
    21. Apr 30TRANSMITTED TO SECRETARY OF THE STATEBoth houses
    22. May 4SIGNED BY GOVERNORGovernor