Notice: 14449913
Notice of Development of Rulemaking
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview


RULE:
69W-600.006   Fingerprint Requirements (Repealed)
69W-600.012   Rules of Conduct
69W-600.013   Prohibited Business Practices for Dealers and Their Associated Persons
69W-600.0131   Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.0132   Custody Requirements for Investment Advisers
69W-600.0133   Use of Senior - Specific Certifications and Professional Designations by Associated Persons and Investment Advisers
69W-600.014   Books and Records Requirements
69W-600.015   Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed)
69W-600.016   Net Capital Requirements for Dealers and Investment Advisers (Repealed)
69W-600.017   Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
69W-600.020   Continuing Education Requirements (Repealed)
RULEMAKING AUTHORITY: 517.03(1), 517.1215(2), 517.1217 FS.
LAW: 517.081, 517.12(4), 517.1215, 517.1217, 517.161(1) FS.
PRINT PUBLISH DATE: 4/15/2014   Vol. 40/73

RELATED STATUTES
AND LAWS:
517.03(1), 517.1215(2), 517.1217 FS., 517.081, 517.12(4), 517.1215, 517.1217, 517.161(1) FS.

OVERSIGHT COMMITTEE: Joint Administrative Procedures Committee
Florida Administrative Law Central Online Network (F.A.L.C.O.N.)

RELATED COURT CASES: Division of Administrative Hearings

FEDERAL eRULEMAKING
WEB PORTAL:
Regulations.gov

HOW TO LINK TO
THIS NOTICE:
http://www.flrules.org/gateway/ruleno.asp?id=69W-600.006&PDate=4/15/2014&Section=1
REFERENCE MATERIALS: No reference(s).