| Introduced by Industry, Business and Labor Committee |
| (At the request of the Securities Commissioner) |
| A BILL for an Act to amend and reenact sections 10-04-02 and 10-04-03, subsections 3, 5, and |
| 12 of section 10-04-05, section 10-04-06, subsection 3 of section 10-04-07, subsections 2 and |
| 3 of section 10-04-07.1, sections 10-04-08 and 10-04-10, subsection 4 of section 10-04-10.3, |
| subsection 1 of section 10-04-11, sections 10-04-14 and 10-04-16, subsection 1 of section |
| 10-04-16.1, subsection 3 of section 10-04-17, and subsection 1 of section 10-04-18 of the |
| North Dakota Century Code, relating to definitions under the Securities Act, the authority of |
| the securities commissioner and the securities department, securities exemptions, exempt |
| transactions, registration of securities, registration of dealers, agents, investment advisors |
| and investment advisor representatives, post-registration requirements, consent to service of |
| process, orders and injunctions, investigations by the securities department, rescission, and |
| penalties; to repeal section 10-04-10.2 of the North Dakota Century Code, relating to |
| eligibility to be registered under the Securities Act; to provide a penalty; and to declare an |
| emergency. |
|
| 01/07 |
|
Senate |
|
Introduced, first reading, (emergency), referred Industry, Business and La |
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SJ 24 |
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| 01/14 |
|
Senate |
|
Committee Hearing 11:00 |
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| 01/21 |
|
Senate |
|
Reported back, do pass, placed on calendar y 006 n 000 |
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SJ 113 |
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| 01/22 |
|
Senate |
|
Second reading passed, y 047 n 000 Emergency clause carried |
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SJ 118 |
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| 01/23 |
|
House |
|
Received from Senate |
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HJ 203 |
|
| 02/03 |
|
House |
|
Introduced, first reading, (emergency), referred Industry, Business and La |
|
HJ 298 |
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| 03/03 |
|
House |
|
Committee Hearing 08:00 |
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| 03/05 |
|
House |
|
Reported back amended, do pass, amendment poc y 013 n 000 |
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HJ 793 |
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| 03/06 |
|
House |
|
Amendment adopted, placed on calendar |
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HJ 799 |
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| 03/10 |
|
House |
|
Second reading passed, y 089 n 000 Emergency clause carried |
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HJ 834 |
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| 03/11 |
|
Senate |
|
Returned to Senate (12) |
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SJ 722 |
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| 03/14 |
|
Senate |
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Concurred |
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SJ 767 |
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| |
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Second reading passed, y 046 n 000 Emergency clause carried |
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SJ 767 |
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| 03/19 |
|
Senate |
|
Signed by President |
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SJ 831 |
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| 03/20 |
|
House |
|
Signed by Speaker |
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HJ 987 |
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| 03/20 |
|
Senate |
|
Sent to Governor |
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SJ 848 |
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| 03/21 |
|
Senate |
|
Signed by Governor |
|
SJ 863 |
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| 03/21 |
|
Senate |
|
Filed with Secretary of State |
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