16079998, 69W-600.0012 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 16079998

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.0012	Application for Registration as a Dealer (Non-FINRA)
69W-600.0013	Application for Registration as an Issuer/Dealer (Repealed)
69W-600.0016	Application for Registration as an Investment Adviser (State Registered)
69W-600.0017	Notice-Filing for Federal Covered Advisers
69W-600.0022	Application for Registration as an Associated Person (Non-FINRA Dealer)
69W-600.0023	Application for Registration as an Associated Person (Issuer/Dealer) (Repealed)
69W-600.0024	Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
69W-600.0031	Notice-Filing of Branch Office (FINRA Dealer)
69W-600.0032	Notice-Filing of Branch Office (Non-FINRA Dealer)
69W-600.0033	Notice Filing of Branch Office (Issuer/Dealer) (Repealed)
69W-600.0034	Notice-Filing of Branch Office (Investment Adviser)

PURPOSE:

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 create separate rules for each (11 new, plus amendments to 3 existing rules).  The purpose and effect of these changes are to improve organization and clarify and provide applicants with a single rule containing the requirements for the registration type they are applying for.  13 existing rules in Chapter 69W, F.A.C. are identified for repeal with the provisions of those rules appearing in the proposed new rules as applicable to each registration type.

SUBJECT:

Securities Regulation

RULEMAKING AUTHORITY:

517.03(1), 517.12, 517.1201, 517.1202 FS

LAW:

517.12, 517.1201, 517.1202, 517.1205, 517.121, 517.161, 517.1215, 517.1217 FS

PRINT PUBLISH DATE:

6/12/2015 Vol. 41/114

RELATED STATUTES
AND LAWS:

517.03(1), 517.12, 517.1201, 517.1202 FS, 517.12, 517.1201, 517.1202, 517.1205, 517.121, 517.161, 517.1215, 517.1217 FS

OVERSIGHT COMMITTEE:

Joint Administrative Procedures Committee
Florida Administrative Law Central Online Network (F.A.L.C.O.N.)

RELATED COURT CASES:

Division of Administrative Hearings

FEDERAL eRULEMAKING
WEB PORTAL:

Regulations.gov

HOW TO LINK TO
THIS NOTICE:

http://www.flrules.org/gateway/ruleno.asp?id=69W-600.0012&PDate=6/12/2015&Section=1

REFERENCE MATERIALS:

No reference(s).

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