Rule: 69W-500.011 Prev   Up   Next

Rule Title: Registration of Issuer Under Section 517.061(11), F.S., as Dealer
Department: DEPARTMENT OF FINANCIAL SERVICES    Add to MyFLRules Favorites
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Division: Securities
Chapter: EXEMPT TRANSACTIONS

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

VIEW_RULE Effective Date: 11/15/2016
History Notes: Rulemaking Authority 517.03 FS. Law Implemented 517.061(11), 517.12(1) FS. History–New 9-20-82, Formerly 3E-500.11, Amended 7-31-91, Formerly 3E-500.011, Amended 5-6-15, 11-15-16.
References in this version: No reference(s).
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-500.011
Registration of Issuer Under Section 517.061(11), F.S., as Dealer 18220982 Effective:
11/15/2016
View Text Proposed
69W-500.011
The rule is proposed to be amended to delete reference to repealed Rule 69W-600.004(1), F.A.C., and replace it with Rule 69W-600.0013(5)(a), F.A.C. 17839287 8/4/2016
Vol. 42/151
View Text Development
69W-500.011
The rule is proposed for amendment to update references to a repealed rule. 17686415 6/24/2016
Vol. 42/123
View Text Final
69W-500.011
Registration of Issuer Under Section 517.061(11), F.S., as Dealer 15918008 Effective:
05/06/2015
View Text Change
69W-500.011
Registration of Issuer Under Section 517.061(11), F.S., as Dealer 15706160 3/5/2015
Vol. 41/44
View Text Proposed
69W-500.011
This rule is proposed to be amended to change a cross-reference to current 69W-300.002 to proposed new rule 69W-600.0151, a consolidated financial reporting and net capital rule for dealers and issuer-dealers. 15563473 1/29/2015
Vol. 41/19
View Text Workshop
69W-500.011
Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, ....
  December 18, 2014, 1:30 p.m.
  Room B103, Office of Financial Regulation, 200 East Gaines Street, ....
15344253 12/4/2014
Vol. 40/234
View Text Development
69W-500.011
This rule is proposed to be amended to change a cross-reference to current rule 69W-300.002 to proposed new rule 69W-600.0151, a consolidated financial reporting and net capital rule for dealers and issuer-dealers. 15276256 11/24/2014
Vol. 40/228
View Text Final
69W-500.011
Registration of Issuer Under Section 517.061(11), F.S., as Dealer 2863360 Effective:
07/31/1991