Notice: 20880237
Final Adopted Version in F.A.C.
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview

RULE:
69W-600.0022   Application for Registration as an Associated Person (Non-FINRA Dealer)
RULE FILE DATE: 9/5/2018
RULE EFFECTIVE DATE: 9/25/2018
HISTORY NOTES: Rulemaking Authority 517.03(1), 517.12 FS. Law Implemented 517.12 FS. History–New 12-29-15, Amended 9-25-18.

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 RULES
AND REGULATIONS:
Electronic Code of Federal Regulations

HOW TO LINK TO
THIS NOTICE:
http://flrules.org/gateway/ruleno.asp?id=69W-600.0022&Section=0
REFERENCE MATERIALS: Ref-06089 Form U4
Ref-06090 Form U5
Ref-09913 Form OFR-MIL-001