28472621, 69W-600.0016 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 28472621

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.0016	Application for Registration as an Investment Adviser (State Registered)
69W-600.0018	Notice-Filing and Requirements for Florida Limited Offering Exemption Issuers
69W-600.0019	Registration of Florida Limited Offering Intermediaries
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-600.0024	Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
69W-600.0131	Prohibited Business Practices for Investment Advisers and Their Associated Persons

PURPOSE:

The purpose and effect is to implement Chapter 2023-205, Laws of Florida, and Chapter 2024-168, Laws of Florida, amend the professional designations which  satisfy the examination requirements pertaining to examination requirements for associated persons of investment advisers and federal covered advisers, to permit an associated person of an investment adviser to borrow money or securities or lend money or securities to a client under certain limited circumstances and with prior written notice to the investment adviser or federal covered adviser, and to update cross-references.

SUBJECT:

Securities Regulation

RULEMAKING AUTHORITY:

517.03, 517.0611, 517.12, 517.121, 517.1215, 517.1611, FS.

LAW:

517.0611, 517.12, 517.161, FS.

PRINT PUBLISH DATE:

6/20/2024 Vol. 50/121

RELATED STATUTES
AND LAWS:

517.03, 517.0611, 517.12, 517.121, 517.1215, 517.1611, FS., 517.0611, 517.12, 517.161, FS.

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 eRULEMAKING
WEB PORTAL:

Regulations.gov

HOW TO LINK TO
THIS NOTICE:

http://flrules.org/gateway/ruleno.asp?id=69W-600.0016&PDate=6/20/2024&Section=1

REFERENCE MATERIALS:

No reference(s).

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