Notice: 23468973
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-600.001   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-600.0016   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-600.013   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
RULEMAKING AUTHORITY: 517.03(1), 517.12, 517.1201, 517.121, 517.1215, 517.1217, FS.
LAW: 517.081, 517.12, 517.1201, 517.121, 517.1215, 517.1217, 517.161, FS.
PRINT PUBLISH DATE: 7/28/2020   Vol. 46/146

RELATED STATUTES
AND LAWS:
517.03(1), 517.12, 517.1201, 517.121, 517.1215, 517.1217, FS., 517.081, 517.12, 517.1201, 517.121, 517.1215, 517.1217, 517.161, 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-600.001&PDate=7/28/2020&Section=1
REFERENCE MATERIALS: No reference(s).