| Notice: 28114400 | |||
| 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: | 3/1/2024 | ||
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| RULE EFFECTIVE DATE: | 3/21/2024 | ||
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| HISTORY NOTES: | Rulemaking Authority 517.03(1), 517.12, 517.121(1) FS. Law Implemented 517.12 FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.01, Amended 7-29-90, 8-1-91, 6-16-92, 1-11-93, 11-14-93, 4-30-96, 6-22-98, 5-10-00, 9-19-00, 7-31-02, Formerly 3E-600.001, Amended 3-16-06, 5-15-07, 11-22-10, 10-29-12, 11-11-13, 12-29-15, 11-26-19, 1-18-21, 2-14-23, 3-21-24. | ||
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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-600.001&Section=0 | ||
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| REFERENCE MATERIALS: |
Ref-06079 Form BDW Ref-06080 Form BR Ref-12549 Form U4 Instructions-Explanation of Terms-Form Ref-12560 Form U5 Instructions-Explanation of Terms-Form Ref-16499 Form BD, Uniform Application for Broker-Dealer Registration (5-23) |
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