16187765, 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: 16187765

Notice of Proposed Rule

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 all provisions relating to applications for registration as an associated person of a FINRA dealer.

SUMMARY:

These rules are proposed for amendment to consolidate existing provisions related to securities industry registration into separate rules by registration type.

RULEMAKING AUTHORITY:

517.03(1), 517.12 FS

LAW:

517.12 FS

PRINT PUBLISH DATE:

7/14/2015 Vol. 41/135

COMMENTS:

From 7/14/2015 To 8/4/2015 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

No reference(s).

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