Florida Department of State and Division of Library and Information Services
Notice: 28114594
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-600.0012   Application for Registration as a Dealer (Non-FINRA)
RULE FILE DATE: 3/1/2024
RULE EFFECTIVE DATE: 3/21/2024
HISTORY NOTES: Rulemaking Authority 517.03(1), 517.12, 517.121(1) FS. Law Implemented 517.12 FS. History–New 12-29-15, Amended 11-26-19, 1-18-21, 2-14-23, 3-21-24.
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-600.0012&Section=0
REFERENCE MATERIALS: Ref-06079 Form BDW
Ref-06080 Form BR
Ref-12552 Form U4 Instructions-Explanation of Terms-Form.pdf
Ref-12561 Form U5 Instructions-Explanation of Terms-Form
Ref-16503 Form BD, Uniform Application for Broker-Dealer Registration (5-23)


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