7528284, 69W-600.0021 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 7528284

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.0021

Effect of Law Enforcement Records on Applications for Registration as Associated Persons

PURPOSE:

The proposed rule imposes disqualifying periods pursuant to which an applicant will be disqualified from eligibility for registration based upon criminal convictions, pleas of nolo contendere, or pleas of guilt, regardless of whether adjudication was withheld. The rule implements the requirements of Section 517.1611(2), Florida Statutes.

SUBJECT:

Securities Regulation – Registration of Associated Persons.

RULEMAKING AUTHORITY:

517.1611(2) FS.

LAW:

517.12, 517.161 FS.

PRINT PUBLISH DATE:

8/21/2009 Vol. 35/33

RELATED STATUTES
AND LAWS:

517.1611(2) FS., 517.12, 517.161 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-600.0021&PDate=8/21/2009&Section=1

REFERENCE MATERIALS:

No reference(s).

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