republic-os/legislation/us/states/ca/20152016/ab-667.md

type, title, description, jurisdiction, legislature, session, identifier, citation, classification, subjects, status, primary_sponsors, version_count, action_count, vote_count, first_action, last_action, source, source_identifier, source_url, source_hash, vintage, source_snapshot, retrieved_at, confidence, tags

type	title	description	jurisdiction	legislature	session	identifier	citation	classification	subjects	status	primary_sponsors	version_count	action_count	vote_count	first_action	last_action	source	source_identifier	source_url	source_hash	vintage	source_snapshot	retrieved_at	confidence	tags
Bill	Broker-dealers: exemptions: finders.	Under existing law, the Corporate Securities Law of 1968, the Commissioner of Business Oversight regulates the activities of a broker-dealer which is defined as, among other things, any person engaged in the business of effecting securities transactions in California for the account of others or his or her own account, and it specifies those persons or entities excluded from the definition. Existing law requires, among other things, that a broker-dealer apply for and secure a certificate authorizing that person to act in that capacity, unless the person is exempted from this requirement, as prescribed. Existing law prohibits a person acting on behalf of a licensed broker-dealer or an issuer, from effecting any transaction in, or inducing or attempting to induce the purchase or sale of, any security in this state unless the broker-dealer and agent have complied with certain rules.	us/states/ca	California Legislature	20152016	AB 667	California AB 667 (20152016)	bill	Broker-dealers: exemptions: finders.	enacted	Wagner	6	26	8	2015-02-24	2015-10-10	openstates	ocd-bill/96a0c3c5-0568-4194-a288-cb9b3d2719d9	http://leginfo.legislature.ca.gov/faces/billNavClient.xhtml?bill_id=201520160AB667	24088a5f9a016333bca02a963cae560b436cf75a0c27d1a23204d9d763c82d66	2026-07-01	https://data.openstates.org/daily/2026-07-01/public.pgdump	2026-07-06	reported	legislation bill us-ca

California AB 667 (20152016) — Broker-dealers: exemptions: finders.

Under existing law, the Corporate Securities Law of 1968, the Commissioner of Business Oversight regulates the activities of a broker-dealer which is defined as, among other things, any person engaged in the business of effecting securities transactions in California for the account of others or his or her own account, and it specifies those persons or entities excluded from the definition. Existing law requires, among other things, that a broker-dealer apply for and secure a certificate authorizing that person to act in that capacity, unless the person is exempted from this requirement, as prescribed. Existing law prohibits a person acting on behalf of a licensed broker-dealer or an issuer, from effecting any transaction in, or inducing or attempting to induce the purchase or sale of, any security in this state unless the broker-dealer and agent have complied with certain rules.

Version chain

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

1. 02/24/15 - Introduced (filed) — source
2. 04/06/15 - Amended Assembly (committee substitute) — source
3. 07/08/15 - Amended Senate (committee substitute) — source
4. 10/10/15 - Chaptered (committee substitute) — source
5. AB667 (committee substitute) — source
6. 09/11/15 - Enrolled (enrolled) — source

Votes

• Do pass as amended, but first amend, and re-refer to the Committee on [Appropriations] — 7–0 (pass) · upper
• Do pass — 7–0 (pass) · upper
• 3rd Reading AB667 Wagner By Berryhill — 39–0 (pass) · upper
• Do pass. — 17–0 (pass) · lower
• Placed on suspense file — 7–0 (pass) · upper
• AB 667 WAGNER Concurrence in Senate Amendments — 78–0 (pass) · lower
• Do pass and be re-referred to the Committee on [Appropriations] — 11–1 (pass) · lower
• AB 667 WAGNER Assembly Third Reading — 76–0 (pass) · lower

Sponsors

• Wagner — primary (person)

Timeline

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

• 2015-02-24 Read first time. To print. reading-1
• 2015-02-25 From printer. May be heard in committee March 27.
• 2015-03-09 Referred to Com. on B. & F. referral-committee
• 2015-04-06 From committee chair, with author's amendments: Amend, and re-refer to Com. on B. & F. Read second time and amended. reading-2, amendment-introduction, amendment-passage, reading-1
• 2015-04-07 Re-referred to Com. on B. & F. referral-committee
• 2015-04-21 From committee: Do pass and re-refer to Com. on APPR. (Ayes 11. Noes 1.) (April 20). Re-referred to Com. on APPR. referral-committee, committee-passage-favorable, committee-passage
• 2015-04-29 In committee: Set, first hearing. Hearing canceled at the request of author.
• 2015-05-13 In committee: Set, second hearing. Referred to APPR. suspense file. referral-committee
• 2015-06-01 From committee: Do pass. (Ayes 17. Noes 0.) (May 28). committee-passage-favorable, committee-passage
• 2015-06-01 Received May 29 pursuant to Joint Rule 61(a)(5).
• 2015-06-01 Read second time. Ordered to third reading. reading-2, reading-1
• 2015-06-02 Read third time. Passed. Ordered to the Senate. (Ayes 76. Noes 0. Page 1815.) reading-3, passage, reading-1
• 2015-06-02 In Senate. Read first time. To Com. on RLS. for assignment. reading-1
• 2015-06-11 Referred to Com. on B. & F.I. referral-committee
• 2015-07-07 From committee: Amend, and do pass as amended and re-refer to Com. on APPR. (Ayes 7. Noes 0.) (July 1). amendment-introduction, committee-passage, amendment-passage
• 2015-07-08 Read second time and amended. Re-referred to Com. on APPR. referral-committee, reading-2, amendment-passage, reading-1
• 2015-08-17 In committee: Referred to APPR. suspense file. referral-committee
• 2015-08-27 From committee: Do pass. (Ayes 7. Noes 0.) (August 27). committee-passage-favorable, committee-passage
• 2015-08-31 Read second time. Ordered to third reading. reading-2, reading-1
• 2015-09-08 Read third time. Passed. Ordered to the Assembly. (Ayes 39. Noes 0. Page 2570.). reading-3, passage, reading-1
• 2015-09-08 In Assembly. Concurrence in Senate amendments pending. May be considered on or after September 10 pursuant to Assembly Rule 77.
• 2015-09-09 Assembly Rule 77 suspended. (Ayes 52. Noes 28. Page 2990.)
• 2015-09-09 Senate amendments concurred in. To Engrossing and Enrolling. (Ayes 78. Noes 0. Page 3016.). committee-passage-favorable, amendment-passage
• 2015-09-17 Enrolled and presented to the Governor at 4 p.m.
• 2015-10-10 Approved by the Governor. executive-signature
• 2015-10-10 Chaptered by Secretary of State - Chapter 743, Statutes of 2015.

Source

OpenStates / OpenCivicData bulk snapshot 2026-07-01; origin ocd-bill/96a0c3c5-0568-4194-a288-cb9b3d2719d9. Confidence: reported (aggregated from official California legislature records).