8068962, 69W-300.002 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 8068962

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

APPLICATIONS

Overview

RULE:

69W-300.002	Financial Statements and Reports (Repealed)
69W-300.003	Refunds of Fees, Files Denied or Withdrawn (Repealed)

PURPOSE:

Rule 69W-300.002, F.A.C., is amended to reflect the most current version of federal regulations and federal statutes referenced in the rule. The rule is also amended to replace references to the National Association of Securities Dealers with the Financial Industry Regulatory Authority (FINRA). FINRA was created in July 2007 through the consolidation of National Association of Securities Dealers and the member regulation, enforcement and arbitration functions of the New York Stock Exchange. Rule 69W-300.003, F.S., is repealed. This rule is not needed because the statutes under Chapter 517, F.S., specify the accounts where fees are to be deposited and also specify that fees are non-refundable.

SUBJECT:

Securities Regulation.

RULEMAKING AUTHORITY:

517.03 FS.

LAW:

517.081, 517.082, 517.12, 517.131, 517.315 FS.

PRINT PUBLISH DATE:

12/24/2009 Vol. 35/51

RELATED STATUTES
AND LAWS:

517.03 FS., 517.081, 517.082, 517.12, 517.131, 517.315 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-300.002&PDate=12/24/2009&Section=1

REFERENCE MATERIALS:

No reference(s).

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