Florida Department of State and Division of Library and Information Services
Notice: 29664654
Notice of Development of Rulemaking
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-600.0015   Canadian Dealer Notice-Filing
69W-600.0016   Application for Registration as an Investment Adviser (State Registered)
69W-600.0017   Notice-Filing for Federal Covered Advisers
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-600.0031   Notice-Filing of Branch Office (FINRA Dealer)
69W-600.0032   Notice-Filing of Branch Office (Non-FINRA Dealer)
69W-600.0151   Net Capital and Financial Reporting Requirements for Dealers
69W-600.0161   Net Capital and Financial Reporting Requirements for Investment Advisers
69W-600.017   Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
RULEMAKING AUTHORITY: 517.03(1), 517.0611, 517.12, 517.121, 517.1201, 517.1202, 517.1611, FS.
LAW: 517.0611, 517.12, 517.1201, 517.1202, 517.161, 517.1611, 517.201, FS.
PRINT PUBLISH DATE: 6/13/2025   Vol. 51/115
RELATED STATUTES
AND LAWS: 		517.03(1), 517.0611, 517.12, 517.121, 517.1201, 517.1202, 517.1611, FS., 517.0611, 517.12, 517.1201, 517.1202, 517.161, 517.1611, 517.201, 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-600.001&PDate=6/13/2025&Section=1
REFERENCE MATERIALS: No reference(s).


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