Notice: 16199793
Notice of Proposed Rule
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview

RULE:
69W-600.0012   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: 517.03(1), 517.12, 517.1201, 517.1202 FS
PRINT PUBLISH DATE: 7/14/2015   Vol. 41/135
COMMENTS: From 7/14/2015 To 8/4/2015 (21 Days)
The public comment period for this notice has already expired.
REFERENCE MATERIALS: No reference(s).