Notice: 16079998
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-600.0012   Application for Registration as a Dealer (Non-FINRA)
69W-600.0013   Application for Registration as an Issuer/Dealer
69W-600.0016   Application for Registration as an Investment Adviser (State Registered)
69W-600.0017   Notice-Filing for Federal Covered Advisers
69W-600.0022   Application for Registration as an Associated Person (Non-FINRA Dealer)
69W-600.0023   Application for Registration as an Associated Person (Issuer/Dealer)
69W-600.0024   Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
69W-600.0031   Notice-Filing of Branch Office (FINRA Dealer)
69W-600.0032   Notice-Filing of Branch Office (Non-FINRA Dealer)
69W-600.0033   Notice Filing of Branch Office (Issuer/Dealer)
69W-600.0034   Notice-Filing of Branch Office (Investment Adviser)
RULEMAKING AUTHORITY: 517.03(1), 517.12, 517.1201, 517.1202 FS
LAW: 517.12, 517.1201, 517.1202, 517.1205, 517.121, 517.161, 517.1215, 517.1217 FS
PRINT PUBLISH DATE: 6/12/2015   Vol. 41/114

RELATED STATUTES
AND LAWS:
517.03(1), 517.12, 517.1201, 517.1202 FS, 517.12, 517.1201, 517.1202, 517.1205, 517.121, 517.161, 517.1215, 517.1217 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-600.0012&PDate=6/12/2015&Section=1
REFERENCE MATERIALS: No reference(s).