16199793, 69W-600.0012 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 16199793

Notice of Proposed Rule

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.0012	Application for Registration as a Dealer (Non-FINRA)
69W-600.0013	Application for Registration as an Issuer/Dealer (Repealed)
69W-600.0016	Application for Registration as an Investment Adviser (State Registered)
69W-600.0017	Notice-Filing for Federal Covered Advisers
69W-600.0022	Application for Registration as an Associated Person (Non-FINRA Dealer)
69W-600.0023	Application for Registration as an Associated Person (Issuer/Dealer) (Repealed)
69W-600.0024	Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
69W-600.0031	Notice-Filing of Branch Office (FINRA Dealer)
69W-600.0032	Notice-Filing of Branch Office (Non-FINRA Dealer)
69W-600.0033	Notice Filing of Branch Office (Issuer/Dealer) (Repealed)
69W-600.0034	Notice-Filing of Branch Office (Investment Adviser)

PURPOSE:

The Office proposes to create new registration/notice-filing rules for entities required to be registered or notice-filed under Chapter 517, Florida Statutes. The Office identified 14 of these categories and proposes to create separate rules for each (11 new, plus amendments to 3 existing rules). The purpose and effect of these changes are to improve organization and clarify and provide applicants with a single rule containing the requirements for the registration type they are applying for. 13 existing rules in Chapter 69W, F.A.C. are identified for repeal with the provisions of those rules appearing in the proposed new rules as applicable to each registration type.

SUMMARY:

Rules are proposed to be created to address each registration type separately under Chapter 517, F.S.

RULEMAKING AUTHORITY:

517.03(1), 517.12, 517.1201, 517.1202 FS

LAW:

517.03(1), 517.12, 517.1201, 517.1202 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).

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.