---
type: "Bill"
title: "Broker-dealers and investment advisers."
description: "Broker-dealers and investment advisers."
jurisdiction: "us/states/ca"
legislature: "California Legislature"
session: "20072008"
identifier: "AB 2149"
citation: "California AB 2149 (20072008)"
classification: ["bill"]
subjects: ["Broker-dealers and investment advisers."]
status: "enacted"
primary_sponsors: ["Berg"]
version_count: 9
action_count: 26
vote_count: 6
first_action: "2008-02-20"
last_action: "2008-09-28"
source: "openstates"
source_identifier: "ocd-bill/352e605d-abae-4966-9dc0-177cd5e7a1d9"
source_url: "http://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=200720080AB2149"
source_hash: "d884abb8cbc3338eed89394a9107dfd444a10d52eee336550ead570712b25ed8"
vintage: "2026-07-01"
source_snapshot: "https://data.openstates.org/daily/2026-07-01/public.pgdump"
retrieved_at: "2026-07-06"
confidence: "reported"
tags: ["legislation", "bill", "us-ca"]
---

# California AB 2149 (20072008) — Broker-dealers and investment advisers.

## Version chain

The bill's text revisions, in order — the diff chain from filing to enrollment.

1. **02/20/08 - Introduced** (filed) — [source](https://leginfo.legislature.ca.gov/faces/billPdf.xhtml?bill_id=200720080AB2149&version=20070AB214999INT)
2. **03/24/08 - Amended Assembly** (committee substitute) — [source](https://leginfo.legislature.ca.gov/faces/billPdf.xhtml?bill_id=200720080AB2149&version=20070AB214998AMD)
3. **04/01/08 - Amended Assembly** (committee substitute) — [source](https://leginfo.legislature.ca.gov/faces/billPdf.xhtml?bill_id=200720080AB2149&version=20070AB214997AMD)
4. **06/04/08 - Amended Senate** (committee substitute) — [source](https://leginfo.legislature.ca.gov/faces/billPdf.xhtml?bill_id=200720080AB2149&version=20070AB214996AMD)
5. **06/24/08 - Amended Senate** (committee substitute) — [source](https://leginfo.legislature.ca.gov/faces/billPdf.xhtml?bill_id=200720080AB2149&version=20070AB214995AMD)
6. **08/12/08 - Amended Senate** (committee substitute) — [source](https://leginfo.legislature.ca.gov/faces/billPdf.xhtml?bill_id=200720080AB2149&version=20070AB214994AMD)
7. **09/28/08 - Chaptered** (committee substitute) — [source](https://leginfo.legislature.ca.gov/faces/billPdf.xhtml?bill_id=200720080AB2149&version=20070AB214992CHP)
8. **AB2149** (committee substitute) — [source](http://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=200720080AB2149)
9. **08/21/08 - Enrolled** (enrolled) — [source](https://leginfo.legislature.ca.gov/faces/billPdf.xhtml?bill_id=200720080AB2149&version=20070AB214993ENR)

## Votes

- Do pass as amended and be re-referred to the Committee on Appropriations. — **pass** (pass) · lower
- Assembly 3rd Reading AB2149 Berg By Lowenthal — **pass** (pass) · upper
- AB 2149 BERG Concurrence in Senate Amendments — **pass** (pass) · lower
- AB 2149 BERG Assembly Third Reading — **pass** (pass) · lower
- Do pass. — **pass** (pass) · lower
- Do pass as amended, and re-refer to the Committee on Appropriations. — **pass** (pass) · upper

## Sponsors

- Berg — primary (person)
- Arambula — coauthor (person)
- Charles Calderon — coauthor (person)
- Coto — coauthor (person)
- De Leon — coauthor (person)
- Jones — coauthor (person)
- Lieber — coauthor (person)
- Lieu — coauthor (person)
- Mendoza — coauthor (person)
- Parra — coauthor (person)
- Swanson — coauthor (person)
- Torrico — coauthor (person)
- Wolk — coauthor (person)

## Timeline

The legislative action history — every referral, reading, and vote.

- **2008-02-20** Read first time. To print. `reading-1`
- **2008-02-21** From printer. May be heard in committee March 22.
- **2008-03-05** Referred to Standing Committee on Banking and Finance. `referral-committee`
- **2008-03-24** From committee chair, with author's amendments: Amend, and re-refer to Standing Committee on Banking and Finance Read second time and amended. `reading-1, reading-2, amendment-passage, amendment-introduction, referral-committee`
- **2008-03-25** Re-referred to Standing Committee on Banking and Finance. `referral-committee`
- **2008-03-28** From committee: Amend, do pass as amended, and re-refer to Standing Committee on Appropriations (Ayes 7. Noes 3.) (March 24). `amendment-introduction, committee-passage, amendment-passage, referral-committee`
- **2008-04-01** Read second time and amended. `reading-1, reading-2, amendment-passage`
- **2008-04-03** Re-referred to Standing Committee on Appropriations. `referral-committee`
- **2008-04-16** From committee: Do pass. (Ayes 12. Noes 3.) (April 16). `committee-passage, committee-passage-favorable`
- **2008-04-17** Read second time. To third reading. `reading-1, reading-2`
- **2008-04-21** Read third time, passed, and to Senate. (Ayes 64. Noes 8. Page 4742.) `passage, reading-1, reading-3`
- **2008-04-22** In Senate. Read first time. To Standing Committee on Rules for assignment. `reading-1`
- **2008-05-01** Referred to Com. on B., F. & I. `referral-committee`
- **2008-06-04** From committee chair, with author's amendments: Amend, and re-refer to committee. Read second time, amended, and re-referred to Com. on B., F. & I. `reading-1, reading-2, amendment-introduction, referral-committee, amendment-passage`
- **2008-06-23** From committee: Amend, do pass as amended, and re-refer to Standing Committee on Appropriations (Ayes 8. Noes 1.) . `amendment-introduction, committee-passage, amendment-passage, referral-committee`
- **2008-06-24** Read second time, amended, and re-referred to Standing Committee on Appropriations. `reading-2, reading-1, amendment-passage, referral-committee`
- **2008-08-04** From committee: Be placed on second reading file pursuant to Senate Rule 28.8. `committee-passage`
- **2008-08-05** Read second time. To third reading. `reading-1, reading-2`
- **2008-08-12** Read third time, amended. To second reading. `reading-1, reading-3, amendment-passage`
- **2008-08-13** Read second time. To third reading. `reading-1, reading-2`
- **2008-08-14** Read third time, passed, and to Assembly. (Ayes 26. Noes 9. Page 5059.) `passage, reading-1, reading-3`
- **2008-08-14** In Assembly. Concurrence in Senate amendments pending. May be considered on or after August 16 pursuant to Assembly Rule 77.
- **2008-08-18** Senate amendments concurred in. To enrollment. (Ayes 76. Noes 0. Page 6595.) `committee-passage-favorable, amendment-passage`
- **2008-09-17** Enrolled and to the Governor at 4:30 p.m.
- **2008-09-28** Approved by the Governor. `executive-signature`
- **2008-09-28** Chaptered by Secretary of State - Chapter 476, Statutes of 2008.

## Source

OpenStates / OpenCivicData bulk snapshot [2026-07-01](https://data.openstates.org/daily/2026-07-01/public.pgdump); origin `ocd-bill/352e605d-abae-4966-9dc0-177cd5e7a1d9`. Confidence: reported (aggregated from official California legislature records).