Notice: 22252787
Notice of Proposed Rule
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview

RULE:
69W-600.001   Application for Registration as a Dealer (FINRA)
69W-600.0011   Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser
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-600.002   Application for Registration as Associated Person (FINRA Dealer)
69W-600.0021   Effect of Law Enforcement Records on Applications for Registration as Associated Persons
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-600.013   Prohibited Business Practices for Dealers and Their Associated Persons
69W-600.0131   Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.0132   Custody Requirements for Investment Advisers
69W-600.014   Books and Records Requirements
69W-600.0151   Net Capital and Financial Reporting Requirements for Dealers and Issuer/Dealers
69W-600.017   Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
69W-600.020   Continuing Education Requirements (Repealed)
RULEMAKING AUTHORITY: 517.03(1), 517.12, 517.1201, 517.1202, 517.121, 517.1215, 517.1217, 517.1611(2), FS.
LAW: 517.081, 517.12, 517.1201, 517.1202, 517.121, 517.1215, 517.1217, 517.161, 517.201 FS.
PRINT PUBLISH DATE: 8/13/2019   Vol. 45/157
COMMENTS: From 8/13/2019 To 9/3/2019 (21 Days)
The public comment period for this notice has already expired.
REFERENCE MATERIALS: No reference(s).