Florida Department of State and Division of Library and Information Services
Notice: 14896889
Notice of Meeting/Workshop Hearing
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69W-600.006   Fingerprint Requirements (Repealed)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69W-600.015   Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed)
69W-600.016   Net Capital Requirements for Dealers and Investment Advisers (Repealed)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69W-600.020   Continuing Education Requirements (Repealed)
  The Financial Services Commission, Office of Financial Regulation announces a public meeting to which all persons are invited.
DATE AND TIME:
PLACE:
Subject:
  A copy of the agenda may be obtained by contacting: Governor and Cabinet website: http://www.myflorida.com/myflorida/cabinet/ or Office of Financial Regulation website: http://www.flofr.com/StaticPages/NoticesOfPublicMeetingsHearingsAndWorkshops.htm. The agenda should be available approximately one week before the cabinet meeting.
PRINT PUBLISH DATE: 8/4/2014   Vol. 40/150
REFERENCE MATERIALS: No reference(s).


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