Florida Department of State and Division of Library and Information Services
Notice: 14666611
Notice of Change/Withdrawal
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview
RULE:
69W-600.006   Fingerprint Requirements (Repealed)
69W-600.012   Rules of Conduct
69W-600.013   Prohibited Business Practices for Dealers and Their Associated Persons
69W-600.0131   Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.0132   Custody Requirements for Investment Advisers
69W-600.0133   Use of Senior - Specific Certifications or Senior-Specific Professional Designations by Associated Persons and Investment Advisers
69W-600.014   Books and Records Requirements
69W-600.015   Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed)
69W-600.016   Net Capital Requirements for Dealers and Investment Advisers (Repealed)
69W-600.017   Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
69W-600.020   Continuing Education Requirements (Repealed)
PRINT PUBLISH DATE: 6/10/2014   Vol. 40/112
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-600.006&PDate=6/10/2014&Section=3
REFERENCE MATERIALS: No reference(s).


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