29728965, 69W-600.001 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 29728965

Notice of Proposed Rule

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

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-600.0016	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

PURPOSE:

The purpose and effect is to amend fingerprint requirements, to implement changes made to the Florida Limited Offering Exemption, and to update cross-references.

SUMMARY:

The rules are amended and adopted to implement Chapters 2024-168 and 2025-28, Laws of Florida, to amend fingerprint requirements, to incorporate Form FLO, Notice of Florida Limited Offering Exemption and Supplement FLO, Preparing a Disclosure Statement for a Florida Limited Offering, to specify when Form FLO must be filed, and update cross-references.

RULEMAKING AUTHORITY:

517.03(1), 517.0611, 517.12, 517.121, 517.1611, FS.

LAW:

517.0611, 517.12, 517.161, 517.1611, FS

PRINT PUBLISH DATE:

7/1/2025 Vol. 51/127

COMMENTS:

From 7/1/2025 To 7/22/2025 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

No reference(s).

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