Introduced
by
To adopt a new Uniform Securities Act based on the model code promulgated by the National Conference of Commissioners on Uniform State Laws. According to the NCCUSL, this would “give states regulatory and enforcement authority that minimizes duplication of regulatory resources and that blends with federal regulation and enforcement.” It provides for registration of security dealers and advisers, registration of initial public offerings of securities (stocks), and authorizes anti-fraud enforcement measures.
Referred to the Committee on Banking and Financial Services
Referred to the Committee on Commerce
Reported without amendment
With the recommendation that the substitute (H-2) be adopted and that the bill then pass.
Substitute offered
To replace the previous version of the bill with one that revises details but does not change the substance of the bill as previously described.
The substitute passed by voice vote
Passed in the House 106 to 0 (details)
To adopt a new Uniform Securities Act based on the model code promulgated by the National Conference of Commissioners on Uniform State Laws. According to the NCCUSL, this would “give states regulatory and enforcement authority that minimizes duplication of regulatory resources and that blends with federal regulation and enforcement.” It provides for registration of security dealers and advisers, registration of initial public offerings of securities (stocks), and authorizes anti-fraud enforcement measures.
Referred to the Committee on Banking and Financial Institutions
Reported without amendment
With the recommendation that the substitute (S-1) be adopted and that the bill then pass.
Substitute offered
To replace the previous version of the bill with one that revises details but does not change the substance of the bill as previously described.
The substitute passed by voice vote
Passed in the Senate 38 to 0 (details)
To adopt a new Uniform Securities Act based on the model code promulgated by the National Conference of Commissioners on Uniform State Laws. According to the NCCUSL, this would “give states regulatory and enforcement authority that minimizes duplication of regulatory resources and that blends with federal regulation and enforcement.” It provides for registration of security dealers and advisers, registration of initial public offerings of securities (stocks), and authorizes anti-fraud enforcement measures.
To concur with the Senate-passed version of the bill.
Passed in the House 105 to 0 (details)
