Notice: 11155502
Notice of Proposed Rule
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview

RULE:
69W-600.002   Application for Registration as Associated Person (FINRA Dealer)
69W-600.006   Fingerprint Requirements (Repealed)
RULEMAKING AUTHORITY: 215.405, 517.03, 517.12(6) FS.
LAW: 517.12(6), (7), (10), 517.1205, 943.053 FS.
PRINT PUBLISH DATE: 3/30/2012   Vol. 38/13
COMMENTS: From 3/30/2012 To 4/20/2012 (21 Days)
The public comment period for this notice has already expired.
REFERENCE MATERIALS: No reference(s).