Notice: 23841356
Notice of Change/Withdrawal
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-600.0019   Registration of Florida Intrastate Crowdfunding Intermediaries
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

PRINT PUBLISH DATE: 11/4/2020   Vol. 46/216

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=11/4/2020&Section=3
REFERENCE MATERIALS: No reference(s).