15274025, 69W-400.002 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 15274025

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

EXEMPT SECURITIES

Overview

RULE:

69W-400.002

Registration of Issuer Under Section 517.051(9), F.S., as Issuer/Dealer (Repealed)

PURPOSE:

This rule is proposed to be amended to update cross-references to proposed new rule 69W-600.0151, a consolidated financial reporting and net capital rule for dealers and issuer-dealers.  The net capital requirement provisions of existing rule 69W-400.002 are proposed to be stricken and moved to the new proposed rule 69W-600.0151.

SUBJECT:

Securities Regulation

RULEMAKING AUTHORITY:

517.03 FS

LAW:

517.051(9), 517.12(2) FS

PRINT PUBLISH DATE:

11/24/2014 Vol. 40/228

RELATED STATUTES
AND LAWS:

517.03 FS, 517.051(9), 517.12(2) 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-400.002&PDate=11/24/2014&Section=1

REFERENCE MATERIALS:

No reference(s).

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