Rule: 69W-600.0023 Prev   Up   Next

Rule Title: Application for Registration as an Associated Person (Issuer/Dealer)
Department: DEPARTMENT OF FINANCIAL SERVICES    Add to MyFLRules Favorites
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):

VIEW_RULE Effective Date: 1/18/2021
History Notes: Rulemaking Authority 517.03(1), 517.12 FS. Law Implemented 517.12 FS. History–New 12-29-15, Amended 9-25-18, 11-26-19, 1-18-21.
References in this version: Ref-09913 Form OFR-MIL-001
Ref-12572 Form U4 Instructions-Explanation of Terms-Form
Ref-12574 Form U5 Instructions-Explanation of Terms-Form
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.0023
Application for Registration as an Associated Person (Issuer/Dealer) 24065620 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-600.0023
Application for Registration as an Associated Person (Issuer/Dealer) 22602957 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 Final
69W-600.0023
Application for Registration as an Associated Person (Issuer/Dealer) 20880334 Effective:
09/25/2018
View Text Correction
69W-600.002
......
Application for Registration as Associated Person (FINRA Dealer), Application for Registration as an Associated Person (Non-FINRA Dealer), Application for Registration as an Associated Person (Issuer/Dealer), .... 20677410 7/25/2018
Vol. 44/144
View Text Proposed
69W-600.002
......
The Office of Financial Regulation proposes to amend existing rules to conform to and implement Chapter No. 2018-7, Laws of Florida (Military Fee Waiver), which was signed into law on March 14, 2018. The legislation requires .... 20553638 6/19/2018
Vol. 44/119
View Text Development
69W-600.002
......
The purpose and effect is to amend existing rules to adopt a form relating to military fee waiver procedures for military personnel, veterans, and spouses seeking registration or renewal of registration as any of the following: .... 20455474 5/24/2018
Vol. 44/102
View Text Final
69W-600.0023
Application for Registration as an Associated Person (Issuer/Dealer) 16901782 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