Rule No.: RULE TITLE
69W-600.001: Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser
69W-600.0015: Canadian Dealer Notification
69W-600.002: Application for Registration as Associated Person
69W-600.004: Registration of Issuer/Dealers, Principals and Branch Offices
69W-600.006: Associated Persons' Fingerprints
69W-600.007: Changes in Name and Successor Registration Requirements
69W-600.008: Termination of Registration as Dealer, Investment Adviser, Branch Office, Principal or Agent
69W-600.009: Registration Renewals
69W-600.0091: Central Registration Depository System
69W-600.0092: Investment Adviser Registration Depository for Federal Covered Advisers
69W-600.0093: Investment Adviser Registration Depository for Investment Advisers
69W-600.010: Notice of Civil, Criminal or Administrative Action
69W-600.012: Rules of Conduct
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
69W-600.015: Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers
69W-600.016: Net Capital Requirements for Dealers and Investment Advisers
69W-600.017: Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
69W-600.020: Continuing Education Requirements
The Financial Services Commission, Office of Financial Regulation announces a hearing to which all persons are invited.
DATE AND TIME: October 12, 2010, 9:00 a.m., during a regular meeting of the Financial Services Commission
PLACE: Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, Florida
GENERAL SUBJECT MATTER TO BE CONSIDERED: This is the Final Public Hearing on the adoption of proposed amendments to Rules 69W-600.001, .0015, .002, .004, .005, .006, .007, .008, .009, .0091, .0092, .0093, .010, .012, .013, .0131, .0132, .014, .015, .016, .017, and .020, F.A.C., published on August 20, 2010, in Vol. 36, No. 33 of the Florida Administrative Weekly. It is anticipated that a notice of change for this rule will be published in the next edition of the Florida Administrative Weekly to address comments from the staff of the Joint Administrative Procedures Committee.
A copy of the agenda may be obtained by contacting: Governor and Cabinet website at: http://www.myflorida.com/myflorida/cabinet/mart.html. The agenda should be available approximately one week before the cabinet meeting.
Pursuant to the provisions of the Americans with Disabilities Act, any person requiring special accommodations to participate in this workshop/meeting is asked to advise the agency at least 48 hours before the workshop/meeting by contacting: Andrea Moreland, Office of Financial Regulation, at (850)410-9601, email: email@example.com. If you are hearing or speech impaired, please contact the agency using the Florida Relay Service, 1(800)955-8771 (TDD) or 1(800)955-8770 (Voice).
For more information, you may contact: Andrea Moreland, Office of Financial Regulation at (850)410-9601, email: firstname.lastname@example.org.