Rule: 69W-700.001 Prev Up Next
| Rule Title: Registration of Securities | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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| Division: | Securities | ||
| Chapter: | REGISTRATION OF SECURITIES | ||
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
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Effective Date: | 3/21/2024 |
| 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, 8-8-21, 3-21-24. | |
| References in this version: |
Ref-11275 Form U-2 Uniform Consent to Service of Process (6-2016) Ref-16506 Form OFR-S-1-91, Application for Registration of Securities (03-2024) Ref-16507 Form OFR-S-12-97, SCOR (Small Corporate Offering Registration) Application to Register Securities (03-2024) Ref-16508 OFR-S-7-91, Exhibit 1 (General Issue) (03-2024) |
| Notice / Adopted |
Description | ID | Publish Date |
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Registration of Securities | 28117795 |
Effective: 03/21/2024 |
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The purpose and effect is to incorporate updated forms, to replace “Federal Savings and Loan Insurance Corporation” with “Federal Deposit Insurance Corporation,” to clarify when registration involving the sale of non-voting .... | 27942225 |
1/12/2024 Vol. 50/09 |
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The purpose and effect is to incorporate updated forms, to replace “Federal Savings and Loan Insurance Corporation” with “Federal Deposit Insurance Corporation,” to clarify when registration involving the sale of non-voting .... | 27461105 |
8/21/2023 Vol. 49/162 |
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Registration of Securities | 24805827 |
Effective: 08/08/2021 |
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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 |
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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 |
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Registration of Securities | 24066396 |
Effective: 01/17/2021 |
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Registration of Securities | 23839804 |
11/4/2020 Vol. 46/216 |
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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 |
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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 |
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Registration of Securities | 22604121 |
Effective: 11/25/2019 |
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Registration of Securities | 22399645 |
9/20/2019 Vol. 45/184 |
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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 |
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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 |
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Registration of Securities | 16895671 |
Effective: 12/29/2015 |
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Registration of Securities | 16668982 |
10/27/2015 Vol. 41/209 |
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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 |
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Registration of Securities | 16560148 |
10/1/2015 Vol. 41/191 |
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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 |
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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 |
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Registration of Securities | 15037248 |
Effective: 09/22/2014 |
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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 |
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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 |
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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 |
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The proposed amendments update the rules relating to the registration of securities. | 14472805 |
4/22/2014 Vol. 40/78 |
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Registration of Securities | 2866076 |
Effective: 07/31/1991 |
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