69W-500.011 : Registration of Issuer Under Section 517.061(11), F.S., as Dealer - Florida Administrative Rules, Law, Code, Register

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Rule Title: Registration of Issuer Under Section 517.061(11), F.S., as Dealer
Department:	DEPARTMENT OF FINANCIAL SERVICES	Add to MyFLRules Favorites
Division:	Securities
Chapter:	EXEMPT TRANSACTIONS

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

	Effective Date:	3/21/2024
	History Notes:	Rulemaking Authority 517.03 FS. Law Implemented 517.061(11), 517.12(1) FS. History–New 9-20-82, Formerly 3E-500.11, Amended 7-31-91, Formerly 3E-500.011, Amended 5-6-15, 11-15-16, 3-21-24.
	References in this version:	No reference(s).

History of this Rule since Jan. 6, 2006

Section	Description	ID	Publish Date

Final 69W-500.011	Registration of Issuer Under Section 517.061(11), F.S., as Dealer	28114303	Effective: 03/21/2024
Proposed 69W-500.006 ......	The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, which amended chapter 517, Florida Statutes, to no longer require the registration of issuers or their associated persons and to clarify ....	27941643	1/12/2024 Vol. 50/09
Development 69W-500.006 ......	The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, which amended chapter 517, Florida Statutes, to no longer require the registration of issuers or their associated persons and to clarify ....	27426185	8/11/2023 Vol. 49/156
Final 69W-500.011	Registration of Issuer Under Section 517.061(11), F.S., as Dealer	18220982	Effective: 11/15/2016
Proposed 69W-500.011	The rule is proposed to be amended to delete reference to repealed Rule 69W-600.004(1), F.A.C., and replace it with Rule 69W-600.0013(5)(a), F.A.C.	17839287	8/4/2016 Vol. 42/151
Development 69W-500.011	The rule is proposed for amendment to update references to a repealed rule.	17686415	6/24/2016 Vol. 42/123
Final 69W-500.011	Registration of Issuer Under Section 517.061(11), F.S., as Dealer	15918008	Effective: 05/06/2015
Change 69W-500.011	Registration of Issuer Under Section 517.061(11), F.S., as Dealer	15706160	3/5/2015 Vol. 41/44
Proposed 69W-500.011	This rule is proposed to be amended to change a cross-reference to current 69W-300.002 to proposed new rule 69W-600.0151, a consolidated financial reporting and net capital rule for dealers and issuer-dealers.	15563473	1/29/2015 Vol. 41/19
Workshop 69W-500.011	Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, .... December 18, 2014, 1:30 p.m. Room B103, Office of Financial Regulation, 200 East Gaines Street, ....	15344253	12/4/2014 Vol. 40/234
Development 69W-500.011	This rule is proposed to be amended to change a cross-reference to current rule 69W-300.002 to proposed new rule 69W-600.0151, a consolidated financial reporting and net capital rule for dealers and issuer-dealers.	15276256	11/24/2014 Vol. 40/228
Final 69W-500.011	Registration of Issuer Under Section 517.061(11), F.S., as Dealer	2863360	Effective: 07/31/1991

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