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 |
|
| Division: | Securities | ||
| Chapter: | REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS | ||
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
|
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 12-5-79, 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, 2-14-23, 3-21-24. | |
| References in this version: |
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 Ref-16499 Form BD, Uniform Application for Broker-Dealer Registration (5-23) |
| Notice / Adopted |
Description | ID | Publish Date |
|
|---|---|---|---|---|
|
Application for Registration as a Dealer (FINRA) | 28114400 |
Effective: 03/21/2024 |
|
|
|
Application for Registration as a Dealer (FINRA) | 26781426 |
Effective: 02/14/2023 |
|
|
|
Application for Registration as a Dealer (FINRA) | 24064747 |
Effective: 01/18/2021 |
|
|
|
Application for Registration as a Dealer (FINRA) | 22602278 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as a Dealer (FINRA) | 16900812 |
Effective: 12/29/2015 |
|
|
|
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser | 13733277 |
Effective: 11/11/2013 |
|
|
|
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser | 12164884 |
Effective: 10/29/2012 |
|
|
|
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser | 9395049 |
Effective: 11/22/2010 |
|
|
|
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser | 4119413 |
Effective: 05/15/2007 |
|
|
|
Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser | 2864039 |
Effective: 03/16/2006 |
|