Rule: 69W-600.0013 Prev   Up   Next

Rule Title: Application for Registration as an Issuer/Dealer (Repealed)
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: 3/21/2024
History Notes: Rulemaking Authority 517.03(1), 517.12 FS. Law Implemented 517.12 FS. History–New 12-29-15, Amended 11-26-19, 1-18-21, 2-14-23, Repealed 3-21-24.
References in this version: No reference(s).
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.0013
Application for Registration as an Issuer/Dealer (Repealed) 28114691 Effective:
03/21/2024
View Text Proposed
69W-600.001
......
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
View Text Development
69W-600.001
......
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
View Text Final
69W-600.0013
Application for Registration as an Issuer/Dealer (Repealed) 26781717 Effective:
02/14/2023
View Text Public Hearing
69W-600.001
......
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
View Text Proposed
69W-600.001
......
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
View Text Development
69W-600.001
......
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
View Text Final
69W-600.0013
Application for Registration as an Issuer/Dealer 24064941 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-600.0013
Application for Registration as an Issuer/Dealer 22602472 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 Correction
69W-600.0012
......
Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer 17863828 8/10/2016
Vol. 42/155
View Text Proposed
69W-600.0012
......
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
View Text Disposition
69W-600.0013
Synovus Securities, Inc.
  (1) The petition sought the agency's opinion as to the applicability of 69W-600.013(2)(f) (2014), FAC, FINRA Rule 2040(a) and FINRA ....
17837250 8/3/2016
Vol. 42/150
View Text Final
69W-600.0013
Application for Registration as an Issuer/Dealer 16901006 Effective:
12/29/2015
View Text Change
69W-600.0012
......
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
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-600.0012
......
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
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-600.0012
......
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
View Text Development
69W-600.0012
......
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