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Inventory of the California State Senate Banking, Commerce and International Trade Committee Records
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Series Description

See LP Numbers below

Series 1 Bill Files 1981-2004

Physical Description: 488 file folders

Arrangement

Bill files are arranged chronologically by legislative session then numerically by bill number within legislative house.

Scope and Content Note

Bills relating to financial institutions, foreign trade, and consumer protection are generally referred to the Senate Banking and Commerce Committee. Most bill files include all or some of the following items: bill analyses, amendments and resolutions, author's statements, testimony, press releases, newspaper clippings, correspondence, roll calls, records of votes, and committee statements. Of particular interest are those bills relating to international money transmission, residential mortgages, investment securities regulation, creation of the Department of Financial Institutions, regulation of real estate brokers, financial privacy, creation of the California World Trade Commission, credit unions, and consumer protections against predatory lending.

Senate Banking and Commerce Committee, 1981-1990:

1981-1982: SB123-SB2046 (7ff) LP189:131-137
1981-1982: AB109-AB3765 (16ff) LP189:138-153
1983-1984: SB143-SB2266 (8ff) LP189:154-161
1983-1984: AB97-AB3782; ACA21; ACR48; AJR96 (11ff) LP189:162-172
1985-1986: SB20-SB2563; SJR7-SJR18 (12ff) LP189:173-184
1985-1986: AB36-AB4310; AJR44-AJR102 (9ff) LP189:185-193
1987-1988: SB70-SB2892; SCR70; SJR31-SJR40 (14ff) LP189:194-207
1987-1988: AB2-AB4668; ACR30; AJR3-AJR68 (7ff) LP189:208-214
1989-1990: SB92-SB2883; SJR21-SJR66 (30ff) LP375:1-30
1989-1990: AB244-AB4362; ACR139; AJR7-AJR81 (18ff) LP375:31-48

Senate Banking, Commerce and International Trade Committee, 1991-1994:

1991-1992: SB71-SB2046; SCR43-SCR111; SJR24-SJR45; SR21-SR66 (21ff) LP375:49-69
1991-1992: AB244-AB3827; ACR47; AJR27-AJR58 (19ff) LP375:70-88
1993-1994: SB115-SB2090; SCR47-SCR54; SJR26-SJR40 (20ff) LP375:89-108
1993-1994: AB253-AB3662; ACR114; AJR19-AJR94; AJR1X (21ff) LP375:109-129

Senate Finance, Investment and International Trade Committee, 1995-2000:

1995-1996: SB141-SB2148; SJR39-SJR48; SR26; SB21XX (20ff) LP375:130-149
1995-1996: AB640-AB3366; ACR24-ACR84 (24ff) LP375:150-177
1997-1998: SB31-SB2060; SJR29-SJR43; SR39 (20ff) LP375:178-197
1997-1998: AB46-AB2694; ACR27; AB7X (19ff) LP375:198-216
1999-2000: SB129-SB2148 (25ff) LP375:217-241
1999-2000: AB61-AB2869 (21ff) LP375:242-262

Senate Banking, Commerce and International Trade Committee, 2001-2004:

2001-2002: SB179-SB2099; SCR54-SCR81, SJR9-SJR40 (22ff) LP375:263-284
2001-2002: AB29-AB2969 (25ff) LP375:285-309
2003-2004: SB374-SB1917; SJR19-SJR20 (4ff) LP375:310-313
2003-2004: AB73-AB3070; AJR14-AJR91 (7ff) LP375:314-320
See Appendix A for LP Numbers

Series 2 Hearing Files 1981-2004

Physical Description: 55 file folders

Arrangement

Hearing files are arranged chronologically by date of hearing.

Scope and Content Note

Hearing files may contain agendas, audiotapes, transcripts, testimony, background, and working files for regular session hearings as well as interim hearings and select joint hearings. Tapes have been separated to a cold-storage vault for preservation purposes and separation sheets are with the hearing files to alert the researcher to the existence of such tapes. Of particular interest are those files pertaining to the Securities Fraud Enforcement Act of 1996 (AB2465), the failure of the Lincoln Savings and Loan Association, electronic banking, the California Disabled Veterans Business Enterprise (DVBE) Program, and home loan protection. Researchers may also be interested in files relating to trade with Cuba, media ownership, and genetically modified organisms.
For a chronological list of hearings, see Appendix A in Master Finding Aid at the California State Archives.
LP375:345-364

Series 3 Subject Files 1977-2003

Physical Description: 20 file folders

Arrangement

Subject files are arranged alphabetically by subject heading.

Scope and Content Note

Subject files may include correspondence, background materials, notes, memos, reports, newspaper clippings, and subcommittee information. Of particular interest are the files pertaining to the 2002 Budget Act and the Fair Political Practices Commission (FPPC). Researchers may also be interested in files related to interstate banking and money transmission.
For an alphabetical list of subject files, see Appendix B in Master Finding Aid at the California State Archives.
LP375:365-366

Series 4 Correspondence 1999-2001

Physical Description: 2 file folders

Arrangement

Correspondence files are arranged chronologically.

Scope and Content Note

The correspondence files are primarily related to committee and bill issues, and may include letters from committee members, constituents, legislative analysts, lobbyists, and department heads.
LP375:367-404

Series 5 Department of Corporations Hearing Files 1996

Physical Description: 38 file folders

Arrangement

The Department of Corporations hearing files are arranged by type with the transcript first followed by Articles, Correspondence, Reports, and Testimony). The reports and testimony files are further arranged alphabetically by subject title.

Scope and Content Note

The Department of Corporations held a hearing on July 14, 1996, regarding Assembly Bill 2465, The Securities Fraud Enforcement Act. This bill replaced the Corporations Commissioner's "merit review" standard with a disclosure standard. Existing law authorized the Commissioner to regulate sales of most securities. The Commissioner evaluated securities sellers and their business plans to determine if they are "fair, just, and equitable," a process known as a "merit review." If the proposed business plan did not meet this standard, the Commissioner could "deny, suspend, or revoke" a permit to sell securities. Under the disclosure standard proposed by AB2465, any sale that conforms to the federal Securities and Exchange Commission's requirements is deemed to comply with the State's disclosure requirements and is therefore automatically registered to sell.
The main policy issue presented by this bill revolves around the State's role in protecting consumers and in reviewing the conduct of securities sales. There are many types of consumers investing in securities, with varying levels of investment sophistication and consumer protection needs. Current law presumed that the State play a role in evaluating seller practices, while AB2465 generally relied on federal regulatory standards to protect consumers.
For a list of DOC securities fraud hearing files, see Appendix C in Master Finding Aid at the California State Archives.