Rule: 69W-700.001 Prev   Up   Next

Rule Title: Registration of Securities
Department: DEPARTMENT OF FINANCIAL SERVICES    Add to MyFLRules Favorites
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Division: Securities
Chapter: REGISTRATION OF SECURITIES

Latest version of the final adopted rule presented in Florida Administrative Code (FAC):

VIEW_RULE Effective Date: 1/17/2021
History Notes: Rulemaking Authority 517.03 FS. Law Implemented 517.07, 517.081, 517.101 FS. History–New 9-20-82, Formerly 3E-20.011, 3E-700.01, Amended 7-31-91, Formerly 3E-700.001, Amended 9-22-14, 12-29-15, 11-25-19, 1-17-21.
References in this version: Ref-06082 Form OFR-S-1-91
Ref-06085 Form OFR-S-7-91
Ref-06086 Form OFR-S-12-97
Ref-11275 Form U-2 Uniform Consent to Service of Process (6-2016)
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Proposed
69W-700.001
The purpose and effect is to amend the existing rule to allow an applicant for registration of securities to elect to file the required application and filing fee through the North American Securities Administrators Association .... 24505806 5/7/2021
Vol. 47/89
View Text Development
69W-700.001
The purpose and effect is to amend the existing rule to allow an applicant for registration of securities to elect to file the required application and filing fee through the North American Securities Administrators Association .... 24434705 4/20/2021
Vol. 47/76
View Text Final
69W-700.001
Registration of Securities 24066396 Effective:
01/17/2021
View Text Correction
69W-700.001
Registration of Securities 23839804 11/4/2020
Vol. 46/216
View Text Proposed
69W-700.001
The purpose and effect is to amend the existing rule to grant an applicant for registration of securities an additional 30 days to submit requested information and to allow the Office to abandon an application if an applicant .... 23718554 10/2/2020
Vol. 46/193
View Text Development
69W-700.001
The purpose and effect is to amend the existing rule to grant an applicant for registration of securities an additional 30 days to submit requested information and to allow the Office to abandon an application if an applicant .... 23610787 9/3/2020
Vol. 46/173
View Text Final
69W-700.001
Registration of Securities 22604121 Effective:
11/25/2019
View Text Change
69W-700.001
Registration of Securities 22399645 9/20/2019
Vol. 45/184
View Text Proposed
69W-700.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms, to make the same available for public access through electronic hyperlinks, to delete references to obsolete .... 22252205 8/13/2019
Vol. 45/157
View Text Development
69W-700.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms, to make the same available for public access through electronic hyperlinks, to delete references to obsolete .... 22020569 6/20/2019
Vol. 45/120
View Text Final
69W-700.001
Registration of Securities 16895671 Effective:
12/29/2015
View Text Change
69W-700.001
Registration of Securities 16668982 10/27/2015
Vol. 41/209
View Text Public Hearing
69W-700.001
The Office will hold a public hearing to discuss changes to its proposed rules relating to registration of securities regulated under Chapter ....
  October 26, 2015, 10:00 a.m.
  Office of Financial Regulation, Room B103, 101 East Gaines St., ....
16567132 10/2/2015
Vol. 41/192
View Text Change
69W-700.001
Registration of Securities 16560148 10/1/2015
Vol. 41/191
View Text Proposed
69W-700.001
The Office proposes to amend this rule to re-add financial reporting provisions for securities registration that were contained in paragraph (6) of Rule 69W-300.002 (repealed 5/6/15) but were inadvertently not moved to another .... 16144115 7/14/2015
Vol. 41/135
View Text Development
69W-700.001
The Office proposes to amend this rule to re-add financial reporting provisions for securities registration that were contained in paragraph (6) of Rule 69W-300.002 (repealed 5/6/15) but were inadvertently not moved to another .... 16079319 6/12/2015
Vol. 41/114
View Text Final
69W-700.001
Registration of Securities 15037248 Effective:
09/22/2014
View Text Public Meeting
69W-700.001
......
This is the Final Public Hearing on the adoption of proposed amendments to these rules, originally published on May 19, 2014, Vol. 40, No. 97, ....
  August 19, 2014, 9:00 a.m., during a regular meeting of the ....
  Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
14897083 8/4/2014
Vol. 40/150
View Text Change
69W-700.001
......
Registration of Securities, Filing of Prospectus, Promoters Equity Investment Ratio, Voting Rights, Options or Warrants Granted Underwriters, Options and Warrants to Officers, Employees and Others, Preferred .... 14663798 6/10/2014
Vol. 40/112
View Text Proposed
69W-700.001
......
The rules are proposed for amendment to clearly state the forms required for the registration of securities; broaden the types of offerings to be all-inclusive and increase consumer protection; allow companies to determine .... 14550696 5/19/2014
Vol. 40/97
View Text Development
69W-700.001
......
The proposed amendments update the rules relating to the registration of securities. 14472805 4/22/2014
Vol. 40/78
View Text Final
69W-700.001
Registration of Securities 2866076 Effective:
07/31/1991