Rule: 69W-600.001 Prev   Up   Next

Rule Title: Application for Registration as a Dealer (FINRA)
Department: DEPARTMENT OF FINANCIAL SERVICES    Add to MyFLRules Favorites
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Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

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

VIEW_RULE Effective Date: 1/18/2021
History Notes: Rulemaking Authority 517.03(1), 517.12 FS. Law Implemented 517.12 FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.01, Amended 7-29-90, 8-1-91, 6-16-92, 1-11-93, 11-14-93, 4-30-96, 6-22-98, 5-10-00, 9-19-00, 7-31-02, Formerly 3E-600.001, Amended 3-16-06, 5-15-07, 11-22-10, 10-29-12, 11-11-13, 12-29-15, 11-26-19, 1-18-21.
References in this version: Ref-06078 Form BD
Ref-06079 Form BDW
Ref-06080 Form BR
Ref-12549 Form U4 Instructions-Explanation of Terms-Form
Ref-12560 Form U5 Instructions-Explanation of Terms-Form
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.001
Application for Registration as a Dealer (FINRA) 24064747 Effective:
01/18/2021
View Text Correction
69W-600.001
......
Application for Registration as a Dealer (FINRA), Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer, Canadian Dealer Notice-Filing, Application for .... 23841356 11/4/2020
Vol. 46/216
View Text Proposed
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... 23718166 10/2/2020
Vol. 46/193
View Text Development
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... 23611078 9/3/2020
Vol. 46/173
View Text Development
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... 23468973 7/28/2020
Vol. 46/146
View Text Final
69W-600.001
Application for Registration as a Dealer (FINRA) 22602278 Effective:
11/26/2019
View Text Change
69W-600.001
......
Application for Registration as a Dealer (FINRA), Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer, Application for Registration as an Investment .... 22399839 9/20/2019
Vol. 45/184
View Text Proposed
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove .... 22252787 8/13/2019
Vol. 45/157
View Text Development
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove .... 22020472 6/20/2019
Vol. 45/120
View Text Final
69W-600.001
Application for Registration as a Dealer (FINRA) 16900812 Effective:
12/29/2015
View Text Change
69W-600.001
......
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser, Canadian Dealer Notification, Application for Registration as Associated Person 16667915 10/27/2015
Vol. 41/209
View Text Public Hearing
69W-600.001
......
The Office will hold a public hearing to discuss changes to its proposed rules relating to registration/notice-filing of entities regulated ....
  October 26, 2015, 10:00 a.m.
  Office of Financial Regulation, Room B103, 101 East Gaines St., ....
16566938 10/2/2015
Vol. 41/192
View Text Change
69W-600.001
......
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser, Canadian Dealer Notification, Application for Registration as Associated Person 16560342 10/1/2015
Vol. 41/191
View Text Public Hearing
69W-600.001
......
The Office will hold a public hearing to discuss changes to its proposed rules relating to registration/notice-filing of entities regulated ....
  August 17, 2015, 10:00 a.m.
  Office of Financial Regulation, Room B103, 200 East Gaines St., ....
16308142 8/7/2015
Vol. 41/153
View Text Proposed
69W-600.001
......
The Office proposes to amend these rules as part of a rule re-organization effort for registration types under Chapter 517, Florida Statutes, in order to improve organization and clarity. 69W-600.001 is proposed for amendment .... 16187765 7/14/2015
Vol. 41/135
View Text Development
69W-600.001
......
The Office proposes to amend these rules as part of a rule re-organization effort for registration types under Chapter 517, Florida Statutes, in order to improve organization and clarity. 69W-600.001 is proposed for amendment .... 16078931 6/12/2015
Vol. 41/114
View Text Final
69W-600.001
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser 13733277 Effective:
11/11/2013
View Text Public Meeting
69W-600.001
......
This is the Final Public Hearing on the adoption of proposed amendments to Rule 69W-600.001, .002, .004, .006, .007, .008, .009, .0091, .0092, ....
  September 24, 2013, 9:00 a.m., during a regularly scheduled ....
  Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
13499507 9/11/2013
Vol. 39/177
View Text Proposed
69W-600.001
......
The proposed rule amendments amend 11 rules regarding the registration of dealers, investment advisers, and associated persons, generally to reflect statutory changes as a result of Chapters 2013-201 and 2013-202, Laws of .... 13274661 8/14/2013
Vol. 39/158
View Text Development
69W-600.001
......
The proposed rule amendments amend 11 rules regarding the registration of dealers, investment advisers, and associated persons, generally to reflect statutory changes as a result of Chapters 2013-201 and 2013-202, Laws of .... 13238965 7/16/2013
Vol. 39/137
View Text Final
69W-600.001
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser 12164884 Effective:
10/29/2012
View Text Hearing
69W-600.001
......
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser, Registration of Issuer/Dealers, Principals and Branch Offices, Termination of Registration as Dealer, Investment Adviser, .... 11906185 8/24/2012
Vol. 38/34
View Text Public Meeting
69W-600.001
......
This is the Final Public Hearing on the adoption of proposed amendments to these rules, published on July 6, 2012, Vol. 38, No. 27, Florida ....
  August 21, 2012, 9:00 a.m., during a regular meeting of the ....
  Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
11887561 8/17/2012
Vol. 38/33
View Text Proposed
69W-600.001
......
Rule 69W-600.001, F.A.C., is recommended for amendment to strike subparagraph (1)(b)6., as this provision is redundant of existing books and records requirements, and to add a requirement for control persons and/or owners .... 11676683 7/6/2012
Vol. 38/27
View Text Development
69W-600.001
......
Rule 69W-600.001, F.A.C., is to be amended to strike subparagraph (1)(b)6., which requires proof of clearing agreements when requested by the Office, and to add a requirement for control persons and/or owners to provide .... 11525945 5/25/2012
Vol. 38/21
View Text Final
69W-600.001
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser 9395049 Effective:
11/22/2010
View Text Public Hearing
69W-600.001
......
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, ....
  October 12, 2010, 9:00 a.m., during a regular meeting of the ....
  Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
9199788 10/1/2010
Vol. 36/39
View Text Proposed
69W-600.001
......
The rules are amended to reflect the latest versions of materials incorporated by reference in the rules, including federal regulations, federal statutes, forms, Financial Industry Regulatory Authority (FINRA) rules, New .... 8904423 8/20/2010
Vol. 36/33
View Text Development
69W-600.001
......
The rules are amended to update references to materials not included within Florida law, including agency forms, federal statutes, federal regulations, Financial Industry Regulatory Authority (FINRA) forms and rules, New .... 8074685 12/24/2009
Vol. 35/51
View Text Final
69W-600.001
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser 4119413 Effective:
05/15/2007
View Text Proposed
69W-600.001
......
Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing .... 3829868 2/23/2007
Vol. 33/08
View Text Development
69W-600.001
......
Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing .... 3333034 12/22/2006
Vol. 32/51
View Text Final
69W-600.001
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser 2864039 Effective:
03/16/2006