Notice: 16566938
Notice of Meeting/Workshop Hearing
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview

RULE:
69W-600.001   Application for Registration as a Dealer (FINRA)
69W-600.0012   Application for Registration as a Dealer (Non-FINRA)
69W-600.0013   Application for Registration as an Issuer/Dealer
69W-600.0015   Canadian Dealer Notice-Filing
69W-600.0016   Application for Registration as an Investment Adviser (State Registered)
69W-600.0017   Notice-Filing for Federal Covered Advisers
69W-600.002   Application for Registration as Associated Person (FINRA Dealer)
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69W-600.003   Multiple Registration (Repealed)
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)
69W-600.004   Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed)
69W-600.005   Examinations/Qualifications (Repealed)
69W-600.006   Fingerprint Requirements (Repealed)
69W-600.007   Changes in Name and Successor Registration Requirements (Repealed)
69W-600.008   Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office (Repealed)
69W-600.009   Registration and Notice-Filing Renewals (Repealed)
69W-600.0091   Central Registration Depository System (Repealed)
69W-600.0092   Investment Adviser Registration Depository for Federal Covered Advisers (Repealed)
69W-600.0093   Investment Adviser Registration Depository for Investment Advisers (Repealed)
69W-600.010   Notice of Civil, Criminal or Administrative Action (Repealed)

  The Financial Services Commission, Office of Financial Regulation, announces a hearing to which all persons are invited.
DATE AND TIME:
PLACE:
Subject:
  A copy of the agenda may be obtained by contacting: The agenda will be available at http://www.flofr.com/StaticPages/NoticesOfPublicMeetingsHearingsAndWorkshops.htm. It will be available no later than one week prior to the hearing date.
PRINT PUBLISH DATE: 10/2/2015   Vol. 41/192
REFERENCE MATERIALS: No reference(s).