Rule: 69W-600.002 Prev   Up   Next

Rule Title: Application for Registration as Associated Person (FINRA Dealer)
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 9-20-82, Formerly 3E-301.02, Amended 10-15-86, 10-4-88, 6-24-90, 7-29-90, 10-14-90, 8-1-91, 6-16-92, 6-28-93, 11-14-93, 3-13-94, 4-30-96, 12-29-96, 6-22-98, 5-10-00, 9-19-00, 7-31-02, 12-11-03, Formerly 3E-600.002, Amended 3-16-06, 5-15-07, 12-24-07, 12-25-08, 11-22-10, 5-29-12, 11-11-13, 12-29-15, 9-25-18, 11-26-19, 1-18-21.
References in this version: Ref-09913 Form OFR-MIL-001
Ref-12556 Form U4 Instructions-Explanation of Terms-Form.pdf
Ref-12564 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-600.002
Application for Registration as Associated Person (FINRA Dealer) 24065426 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-600.002
Application for Registration as Associated Person (FINRA Dealer) 22602763 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-600.002
Application for Registration as Associated Person (FINRA Dealer) 20880140 Effective:
09/25/2018
View Text Correction
69W-600.002
......
Application for Registration as Associated Person (FINRA Dealer), Application for Registration as an Associated Person (Non-FINRA Dealer), Application for Registration as an Associated Person (Issuer/Dealer), .... 20677410 7/25/2018
Vol. 44/144
View Text Proposed
69W-600.002
......
The Office of Financial Regulation proposes to amend existing rules to conform to and implement Chapter No. 2018-7, Laws of Florida (Military Fee Waiver), which was signed into law on March 14, 2018. The legislation requires .... 20553638 6/19/2018
Vol. 44/119
View Text Development
69W-600.002
......
The purpose and effect is to amend existing rules to adopt a form relating to military fee waiver procedures for military personnel, veterans, and spouses seeking registration or renewal of registration as any of the following: .... 20455474 5/24/2018
Vol. 44/102
View Text Final
69W-600.002
Application for Registration as Associated Person (FINRA Dealer) 16901588 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-600.002
Application for Registration as Associated Person 13733374 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-600.002
Application for Registration as Associated Person 11523132 Effective:
05/29/2012
View Text Public Hearing
69W-600.002
......
This is the Final Public Hearing on the adoption of proposed amendments to Rules 69W-600.002 and 69W-600.006, F.A.C., published on March 30, ....
  April 24, 2012, 9:00 a.m., during a regular meeting of the Financial ....
  Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
11374043 4/13/2012
Vol. 38/15
View Text Proposed
69W-600.002
......
: Rules 69W-600.002 and 69W-600.006, F.A.C., are being amended to reduce fingerprint processing fees from $43.25 to $40.50. The current fee of $43.25 represents $24 charged by the Florida Department of Law Enforcement for .... 11155502 3/30/2012
Vol. 38/13
View Text Development
69W-600.002
......
Rules 69W-600.002 and 69W-600.006, F.A.C., are being amended to reduce fingerprint processing fees from $43.25 to $40.50. The current fee of $43.25 represents $24 charged by the Florida Department of Law Enforcement for .... 11151913 3/9/2012
Vol. 38/10
View Text Final
69W-600.002
Application for Registration as Associated Person 9395243 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-600.002
Application for Registration as Associated Person 6536750 Effective:
12/25/2008
View Text Public Hearing
69W-600.002
......
This is the Final Public Hearing on the adoption of proposed rules 69W-600.002 and 69W-600.006, Florida Administrative Code, published on September ....
  November 20, 2008, 9:00 a.m.
  Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
6389795 11/7/2008
Vol. 34/45
View Text Proposed
69W-600.002
......
The rules are being amended to increase fingerprint processing fees from $42.25 to $43.25. The current fee of $42.25 represents $23 charged by the Florida Department of Law Enforcement for a state criminal history check .... 4611203 9/26/2008
Vol. 34/39
View Text Development
69W-600.002
......
The rules are being amended to increase fingerprint processing fees from $42.25 to $43.25. The current fee of $42.25 represents $23 charged by the Florida Department of Law Enforcement for a state criminal history check .... 5808765 7/3/2008
Vol. 34/27
View Text Final
69W-600.002
Application for Registration as Associated Person 5005508 Effective:
12/24/2007
View Text Proposed
69W-600.002
......
Rules 69W-600.002 and 69W-600.006, F.A.C., are being amended to reduce fingerprint processing fees from $47 to $42.25. The current fee of $47 represents $23 charged by the Florida Department of Law Enforcement for a state .... 4672507 10/5/2007
Vol. 33/40
View Text Development
69W-600.002
......
Rules 69W-600.002 and 69W-600.006, F.A.C., are being amended to reduce fingerprint processing fees from $47 to $42.25. The current fee of $47 represents $23 charged by the Florida Department of Law Enforcement for a state .... 4577447 9/7/2007
Vol. 33/36
View Text Development
69W-600.002
Chapter 2007-63, Laws of Florida, relates to the regulation of securities transactions. This law amends Section 517.12, Florida Statutes, to increase fees applicable to the registration of associated persons. Statutory fees .... 4428940 8/3/2007
Vol. 33/31
View Text Final
69W-600.002
Application for Registration as Associated Person 4119898 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-600.002
Application for Registration as Associated Person 2864136 Effective:
03/16/2006