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Industry, Business and Labor Committee
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(At the request of the Securities Commissioner)
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A BILL for an Act to create and enact section 10-04-08.4 of the North Dakota Century Code,
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relating to filing requirements for federal covered securities; and to amend and reenact
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sections 10-04-02, subsections 4 and 5 of section 10-04-03, sections 10-04-04, 10-04-05,
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10-04-06, 10-04-07.1, 10-04-08, 10-04-08.1, 10-04-08.2, 10-04-08.3, 10-04-09, 10-04-10,
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10-04-10.1, 10-04-10.2, 10-04-10.3, 10-04-11, 10-04-12, 10-04-14, 10-04-16.1, 10-04-17, and
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10-04-18 of the North Dakota Century Code, relating to definitions, administration, and
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registration of securities under the Securities Act of 1951, advertising of and statements
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about securities, federal covered securities, suspensions and revocation of securities
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registrations, registration of dealers, agents, investment advisers, and investment adviser
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representatives, suspension and revocation of registrations of dealers, agents, investment
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advisers and investment adviser representatives, hearing provisions, securities
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investigations, consent to service of process, remedies available to investors, and penalties.
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01/18
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House
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Introduced, first reading, referred Industry, Business and Labor
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HJ 40
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01/27
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House
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Committee Hearing 10:00
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02/04
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House
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Reported back amended, amendment poc y 015 n 000
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HJ 313
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02/05
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House
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Amendment adopted
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HJ 325
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Rereferred to Appropriations
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HJ 325
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02/08
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House
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Committee Hearing 10:30
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02/09
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House
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Reported back, do pass, placed on calendar y 015 n 005
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HJ 380
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02/12
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House
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Second reading, passed as amended, yeas 078 nays 013
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HJ 471
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02/15
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Senate
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Received from House
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SJ 426
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Introduced, first reading, referred Industry, Business and Labor
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SJ 440
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03/01
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Senate
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Committee Hearing 10:30
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03/03
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Senate
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Reported back, do pass, placed on calendar y 007 n 000
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SJ 604
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Rereferred to Appropriations
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SJ 604
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03/11
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Senate
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Committee Hearing 08:30
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03/18
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Senate
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Reported back, do pass, placed on calendar y 014 n 000
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SJ 754
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03/19
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Senate
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Second reading, passed, yeas 047 nays 000
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SJ 765
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03/22
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House
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Returned to House
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HJ 915
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03/24
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House
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Signed by Speaker
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HJ 969
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03/25
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Senate
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Signed by President
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SJ 846
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03/26
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House
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Sent to Governor
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HJ 998
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03/26
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House
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Signed by Governor
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HJ1015
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03/26
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House
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Filed with Secretary of State
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