Notice: 20455474
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-600.002   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)
RULEMAKING AUTHORITY: 517.03(1), 517.12(10)(b), 517.12(11)(b) FS.
LAW: 517.03, 517.12 FS.
PRINT PUBLISH DATE: 5/24/2018   Vol. 44/102

RELATED STATUTES
AND LAWS:
517.03(1), 517.12(10)(b), 517.12(11)(b) FS., 517.03, 517.12 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-600.002&PDate=5/24/2018&Section=1
REFERENCE MATERIALS: No reference(s).