Florida Department of State and Division of Library and Information Services
Notice: 26599066
Notice of Meeting/Workshop Hearing
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview
RULE:
69W-600.001   Application for Registration as a Dealer (FINRA)
69W-600.0011   Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser
69W-600.0012   Application for Registration as a Dealer (Non-FINRA)
69W-600.0013   Application for Registration as an Issuer/Dealer (Repealed)
69W-600.0016   Application for Registration as an Investment Adviser (State Registered)
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69W-600.0023   Application for Registration as an Associated Person (Issuer/Dealer) (Repealed)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)
69W-600.0031   Notice-Filing of Branch Office (FINRA Dealer)
69W-600.0131   Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.014   Books and Records Requirements
69W-600.0151   Net Capital and Financial Reporting Requirements for Dealers
69W-600.0161   Net Capital and Financial Reporting Requirements for Investment Advisers
  The Florida Office of Financial Regulation announces a hearing to which all persons are invited.
DATE AND TIME:
PLACE:
Subject:
  A copy of the agenda may be obtained by contacting: Ryann White at Ryann.White@flofr.gov or visiting the Office of Financial Regulation’s website at: https://flofr.gov/sitePages/OFRNews.htm?c=public-meetings-notices.
PRINT PUBLISH DATE: 12/5/2022   Vol. 48/234
REFERENCE MATERIALS: No reference(s).


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.