The bills, people and money around Financial Industry Regulatory Authority.
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Reporting on up to 20 of the bills shown here. This is a sample, and coverage may be incomplete.
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Securities and investment adviser representatives.Indiana · HB 1336 · Last action Feb 26, 2026Exempts a merger and acquisition broker from registering as a broker-dealer under certain circumstances.Latest action: Signed by the GovernorEnacted law
Investment adviser representatives and agents.Indiana · HB 1545 · Last action Jan 21, 2025Requires an applicant seeking to register as an agent of a broker-dealer in Indiana to pass financial industry regulatory authority (FINRA) examinations unless certain exceptions apply.Latest action: Authored by Representative HeatonSession ended
Information Practices Act of 1977.California · AB 2677 · Last action Sep 19, 2022This bill would, beginning January 1, 2025, recast those provisions to include, among other things, genetic information, IP address, online browsing history, and location information, if reasonably capable of identifying or describing an individual, within the definition of "personal information," and revise the definition of "regulatory agency" to include…Latest action: Vetoed by Governor.Vetoed
Annuity transactions.California · SB 715 · Last action Mar 1, 2012This bill would require insurers and insurance producers, as defined, to comply with specified requirements regarding the purchase, exchange, or replacement of an annuity recommended to a consumer, including, but not limited to, having reasonable grounds for the insurance producer believing the annuity transaction would be suitable for the consumer, as…Latest action: Veto sustained.Vetoed
Listed by relevance and date. A bill is not a law.