16078931, 69W-600.001 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 16078931

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.001	Application for Registration as a Dealer (FINRA)
69W-600.0015	Canadian Dealer Notice-Filing
69W-600.002	Application for Registration as Associated Person (FINRA Dealer)

PURPOSE:

The Office proposes to amend these rules as part of a rule re-organization effort for registration types under Chapter 517, Florida Statutes, in order to improve organization and clarity.  69W-600.001 is proposed for amendment to only contain provisions relating to applications for registration for FINRA dealers.  69W-600.0015 is proposed for amendment to include all applicable provisions relating to notice-filing for Canadian dealers.  69W-600.002 is proposed for amendment to contain only provisions relating to applications for registration as an associated person of a FINRA dealer.

SUBJECT:

Securities Regulation

RULEMAKING AUTHORITY:

517.03(1), 517.12, 517.121, 517.1217 FS

LAW:

517.12, 517.121, 517.1217, 517.201 FS

PRINT PUBLISH DATE:

6/12/2015 Vol. 41/114

RELATED STATUTES
AND LAWS:

517.03(1), 517.12, 517.121, 517.1217 FS, 517.12, 517.121, 517.1217, 517.201 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=6/12/2015&Section=1

REFERENCE MATERIALS:

No reference(s).

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