23719330, 69W-600.0141 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 23719330

Notice of Proposed Rule

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.0141

Notification of Delay of Disbursement/Transaction from Account of Specified Adult

PURPOSE:

The purpose and effect is to implement new section 517.34, Florida Statutes, and incorporate by reference new Form OFR-DLY, Notification of Delay of Disbursement/Transaction from Account of Specified Adult.

SUMMARY:

The proposed rule implements section 517.34, Florida Statutes, and incorporates by reference Form OFR-DLY, Notification of Delay of Disbursement/Transaction from Account of Specified Adult. Form OFR-DLY shall be used by any dealer or investment adviser who delays a disbursement or transaction of funds or securities from an account of a specified adult, as defined in section 517.34, Florida Statutes, or an account for which a specified adult is a beneficiary or beneficial owner to notify the Office of Financial Regulation of the delay or extension of a delay.

RULEMAKING AUTHORITY:

517.03(1), 517.34(3), (4) FS.

LAW:

517.34 FS.

PRINT PUBLISH DATE:

10/2/2020 Vol. 46/193

COMMENTS:

From 10/2/2020 To 10/23/2020 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

No reference(s).

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