13267968, 69W-301.002 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 13267968

Notice of Proposed Rule

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

PROCEDURAL RULES FOR PROCESSING

Overview

RULE:

69W-301.002

Processing of Applications and Notice-Filings (Repealed)

PURPOSE:

The proposed rule amendment updates procedures in the processing of applications to reflect statutory changes as a result of Chapters 2013-201 and 2013-202, Laws of Florida. The proposed amendment: 1) strikes a fingerprint card form that is no longer required as a result of fingerprint processing changes in Ch. 2013-201, Laws of Florida, 2) updates procedures for certain branch offices conducting securities transactions to reflect that such offices shall notice file rather than register with the Office of Financial Regulation, as set forth in Ch. 2013-202, Laws of Florida, 3) adopts and incorporates by reference an updated Form ADV-W (11/2010); 4) updates the title of the rule to add "and Notice-Filing", and 5) updates abbreviations and acronyms and other minor formatting changes in the rule for consistency with other rules.

SUMMARY:

The proposed rule amendment updates procedures in the processing of applications to reflect statutory changes as a result of Chapters 2013-201 and 2013-202, Laws of Florida. The proposed amendment: 1) strikes a fingerprint card form that is no longer required as a result of fingerprint processing changes in Ch. 2013-201, Laws of Florida, 2) updates procedures for certain branch offices conducting securities transactions to reflect that such offices shall notice file rather than register with the Office of Financial Regulation, as set forth in Ch. 2013-202, Laws of Florida, 3) adopts and incorporates by reference an updated Form ADV-W (11/2010); 4) updates the title of the rule to add "and Notice-Filing", and 5) updates abbreviations and acronyms and other minor formatting changes in the rule for consistency with other rules.

RULEMAKING AUTHORITY:

517.03(1), 517.12, 517.1201, 517.1202, 517.081(2), 517.082(4) FS.

LAW:

120.60(1), 517.051 , 517.075, 517.081, 517.082, 517.12, 517.1202, 517.161(5) FS.

PRINT PUBLISH DATE:

8/14/2013 Vol. 39/158

COMMENTS:

From 8/14/2013 To 9/4/2013 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

No reference(s).

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