13238286, 69W-301.002 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 13238286

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

PROCEDURAL RULES FOR PROCESSING

Overview

RULE:

69W-301.002

Processing of Applications and Notice-Filings (Repealed)

PURPOSE:

The proposed rule amendment updates procedures in the processing of applications to reflect statutory changes as a result of Chapters 2013-201 and 2013-202, Laws of Florida. The proposed amendment: 1) strikes a fingerprint card form that is no longer required as a result of fingerprint processing changes in Ch. 2013-201, Laws of Florida, 2) updates procedures for certain branch offices conducting securities transactions to reflect that such offices shall notice file rather than register with the Office of Financial Regulation, as set forth in Ch. 2013-202, Laws of Florida, 3) adopts and incorporates by reference an updated Form ADV-W (11/2010); 4) updates the title of the rule to add "and Notice-Filing", and 5) updates abbreviations and acronyms in the rule for consistency with other rules.

SUBJECT:

Securities Regulation - Procedural Rules for Processing

RULEMAKING AUTHORITY:

517.03(1), 517.12, 517.1201, 517.1202, 517.081(2), 517.082(4) FS.

LAW:

120.60(1), 517.051 , 517.075, 517.081, 517.082, 517.12, 517.1202, 517.161(5) FS.

PRINT PUBLISH DATE:

7/16/2013 Vol. 39/137

RELATED STATUTES
AND LAWS:

517.03(1), 517.12, 517.1201, 517.1202, 517.081(2), 517.082(4) FS., 120.60(1), 517.051 , 517.075, 517.081, 517.082, 517.12, 517.1202, 517.161(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-301.002&PDate=7/16/2013&Section=1

REFERENCE MATERIALS:

No reference(s).

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