| Notice: 24213836 | |||
| Final Adopted Version in F.A.C. | |||
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| Department: | DEPARTMENT OF FINANCIAL SERVICES | ||
| Division: | Securities | ||
| Chapter: | REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS | ||
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Overview |
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| RULE: |
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| RULE FILE DATE: | 2/11/2021 | ||
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| RULE EFFECTIVE DATE: | 3/3/2021 | ||
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| HISTORY NOTES: | Rulemaking Authority 517.03(1), 517.12(9), 517.121(2) FS. Law Implemented 517.12(9), 517.121(2), 517.161(1), 517.201 FS. History–New 5-6-15, Amended 11-26-19, 3-3-21. | ||
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| OVERSIGHT COMMITTEE: | Joint Administrative Procedures Committee Florida Administrative Law Central Online Network (F.A.L.C.O.N.) |
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| RELATED COURT CASES: | Division of Administrative Hearings | ||
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| FEDERAL RULES
AND REGULATIONS: |
Electronic Code of Federal Regulations | ||
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| HOW TO LINK TO
THIS NOTICE: |
http://flrules.org/gateway/ruleno.asp?id=69W-600.0151&Section=0 | ||
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| REFERENCE MATERIALS: |
Ref-11279 SEC Form X-17A-5 FOCUS Report Part IIA (11-05) |
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