16079610, 69W-600.003 - Florida Administrative Rules, Law, Code, Register

Home

Florida Department of State and Division of Library and Information Services

Notice: 16079610

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.003	Multiple Registration (Repealed)
69W-600.004	Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed)
69W-600.005	Examinations/Qualifications (Repealed)
69W-600.006	Fingerprint Requirements (Repealed)
69W-600.007	Changes in Name and Successor Registration Requirements (Repealed)
69W-600.008	Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office (Repealed)
69W-600.009	Registration and Notice-Filing Renewals (Repealed)
69W-600.0091	Central Registration Depository System (Repealed)
69W-600.0092	Investment Adviser Registration Depository for Federal Covered Advisers (Repealed)
69W-600.0093	Investment Adviser Registration Depository for Investment Advisers (Repealed)
69W-600.010	Notice of Civil, Criminal or Administrative Action (Repealed)

PURPOSE:

The Office proposes to repeal these rules and replace them with new registration rules under Chapter 517, Florida Statutes, to be separated by registration type.  The purpose and effect of these changes are to improve organization and clarity and provide applicants with a single rule containing the requirements for the registration type they are applying for.  The proposed 14 registration/notice-filing rules (11 new, 3 amended) will contain provisions of these rules as applicable to each registration type.

SUBJECT:

Securities Regulation

RULEMAKING AUTHORITY:

517.03(1), 517.12, 517.1201, 517.1202 FS

LAW:

517.12, 517.1201, 517.1202, 517.1205, 517.121, 517.161 FS

PRINT PUBLISH DATE:

6/12/2015 Vol. 41/114

RELATED STATUTES
AND LAWS:

517.03(1), 517.12, 517.1201, 517.1202 FS, 517.12, 517.1201, 517.1202, 517.1205, 517.121, 517.161 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-600.003&PDate=6/12/2015&Section=1

REFERENCE MATERIALS:

No reference(s).

Under Florida law, E-mail addresses are public records. If you do not want your E-mail address released in response to a public records request, do not send electronic mail to this entity. Instead, contact this office by phone or in writing.