Notice: 11525945
Notice of Development of Rulemaking
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview


RULE:
69W-600.001   Application for Registration as a Dealer (FINRA)
69W-600.004   Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed)
69W-600.008   Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office (Repealed)
69W-600.020   Continuing Education Requirements (Repealed)
RULEMAKING AUTHORITY: 517.03(1), 517.12(6) FS.
LAW: 517.12(5), (6), (7), (10), (18), 517.1205, 517.12(12)(b), 517.161(1), (5) FS.
PRINT PUBLISH DATE: 5/25/2012   Vol. 38/21

RELATED STATUTES
AND LAWS:
517.03(1), 517.12(6) FS., 517.12(5), (6), (7), (10), (18), 517.1205, 517.12(12)(b), 517.161(1), (5) 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://flrules.org/gateway/ruleno.asp?id=69W-600.001&PDate=5/25/2012&Section=1
REFERENCE MATERIALS: No reference(s).