20553638, 69W-600.002 - Florida Administrative Rules, Law, Code, Register

Home

Florida Department of State and Division of Library and Information Services

Notice: 20553638

Notice of Proposed Rule

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.002	Application for Registration as Associated Person (FINRA Dealer)
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69W-600.0023	Application for Registration as an Associated Person (Issuer/Dealer) (Repealed)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)

PURPOSE:

The Office of Financial Regulation proposes to amend existing rules to conform to and implement Chapter No. 2018-7, Laws of Florida (Military Fee Waiver), which was signed into law on March 14, 2018. The legislation requires the Financial Services Commission to implement certain parts of the military fee waiver provision by rule.

SUMMARY:

The amended rules set out to provide fee waiver procedures for military personnel, veterans, and spouses seeking registration or renewal of registration as any of the following: a principal or associated person of dealers who are members of the Financial Industry Regulatory Authority (FINRA), a principal or associated person of dealers who are not members of the Financial Industry Regulatory Authority (FINRA), a principal or associated person of an issuer/dealer; or an associated person of investment advisers and federal covered advisers.

RULEMAKING AUTHORITY:

517.03(1), 517.12(10)(b), 517.12(11)(b) FS.

LAW:

517.03, 517.12 FS.

PRINT PUBLISH DATE:

6/19/2018 Vol. 44/119

COMMENTS:

From 6/19/2018 To 7/10/2018 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

Ref-06089 Form U4

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.