SB 375 - House Committee Substitute Summary
- House Committee Substitute -

HCS/SB 375 - This act clarifies the registration and reporting requirements of broker-dealers, agents and investments advisors to include "investment advisor representatives", "federal covered advisers" and "federal covered securities" within the state. The Commissioner is further authorized to create notice filing requirements for persons or transactions governed by the Securities Exchange Commission or other federal acts.

DENISE GARNIER