Notice: 24065523
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: 12/29/2020
RULE EFFECTIVE DATE: 1/18/2021
HISTORY NOTES: Rulemaking Authority 517.03(1), 517.12 FS. Law Implemented 517.12 FS. History–New 12-29-15, Amended 9-25-18, 11-26-19, 1-18-21.

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-09913 Form OFR-MIL-001
Ref-12557 Form U4 Instructions-Explanation of Terms-Form.pdf
Ref-12565 Form U5 Instructions-Explanation of Terms-Form