Rule: 69W-600.0012 Prev Up Next
| Rule Title: Application for Registration as a Dealer (Non-FINRA) | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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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):
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Effective Date: | 3/21/2024 |
| History Notes: | Rulemaking Authority 517.03(1), 517.12, 517.121(1) FS. Law Implemented 517.12 FS. History–New 12-29-15, Amended 11-26-19, 1-18-21, 2-14-23, 3-21-24. | |
| References in this version: |
Ref-06079 Form BDW Ref-06080 Form BR Ref-12552 Form U4 Instructions-Explanation of Terms-Form.pdf Ref-12561 Form U5 Instructions-Explanation of Terms-Form Ref-16503 Form BD, Uniform Application for Broker-Dealer Registration (5-23) |
| Notice / Adopted |
Description | ID | Publish Date |
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Application for Registration as a Dealer (Non-FINRA) | 28114594 |
Effective: 03/21/2024 |
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The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27941934 |
1/17/2024 Vol. 50/11 |
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The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27426282 |
8/11/2023 Vol. 49/156 |
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Application for Registration as a Dealer (Non-FINRA) | 26781620 |
Effective: 02/14/2023 |
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This is a public hearing to discuss the proposed rulemaking of Rules 69W-600.001, 69W-600.0011, 69W-600.0012, 69W-600.0013, 69W-600.0016, 69W-600.002, .... December 13, 2022, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, .... |
26599066 |
12/5/2022 Vol. 48/234 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26344344 |
9/30/2022 Vol. 48/191 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26274795 |
9/12/2022 Vol. 48/177 |
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Application for Registration as a Dealer (Non-FINRA) | 24064844 |
Effective: 01/18/2021 |
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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 |
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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 |
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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 |
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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 |
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Application for Registration as a Dealer (Non-FINRA) | 22602375 |
Effective: 11/26/2019 |
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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 |
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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 |
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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 |
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Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer | 17863828 |
8/10/2016 Vol. 42/155 |
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The Office proposes to amend Rules 69W-600.012, .013, .0131, and .014, F.A.C., to update references to repealed rules. Additionally, the Office proposes to amend Rule 69W-600.014, F.A.C., in order to amend recordkeeping .... | 17839481 |
8/4/2016 Vol. 42/151 |
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Application for Registration as a Dealer (Non-FINRA) | 16900909 |
Effective: 12/29/2015 |
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Application for Registration as a Dealer (non-FINRA), Application for Registration as an Issuer/Dealer, Application for Registration as an Investment Adviser (State Registered), Notice-Filing for Federal .... | 16668788 |
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/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 |
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Application for Registration as a Dealer (non-FINRA), Application for Registration as an Issuer/Dealer, Application for Registration as an Investment Adviser (State Registered), Notice-Filing for Federal .... | 16560924 |
10/1/2015 Vol. 41/191 |
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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 |
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The Office proposes to create new registration/notice-filing rules for entities required to be registered or notice-filed under Chapter 517, Florida Statutes. The Office identified 14 of these categories and proposes to .... | 16199793 |
7/14/2015 Vol. 41/135 |
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The Office proposes to create new registration/notice-filing rules for entities required to be registered or notice-filed under Chapter 517, Florida Statutes. The Office identified 14 of these categories and proposes to .... | 16079998 |
6/12/2015 Vol. 41/114 |
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