3829868, 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: 3829868

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-600.0015	Canadian Dealer Notice-Filing
69W-600.002	Application for Registration as Associated Person (FINRA Dealer)
69W-600.004	Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed)
69W-600.006	Fingerprint Requirements (Repealed)
69W-600.009	Registration and Notice-Filing Renewals (Repealed)
69W-600.0091	Central Registration Depository System (Repealed)
69W-600.0092	Investment Adviser Registration Depository for Federal Covered Advisers (Repealed)
69W-600.0093	Investment Adviser Registration Depository for Investment Advisers (Repealed)
69W-600.014	Books and Records Requirements
69W-600.016	Net Capital Requirements for Dealers and Investment Advisers (Repealed)

PURPOSE:

Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing and regulatory functions of the Office of Financial Regulation. Among other things, the law amends provisions concerning licensing, notice filings, and other regulatory provisions in the area of securities regulation. The proposed rules implement and reflect the statutory changes. The proposed rules also revise provisions regarding net capital requirements for dealers and investment advisers.

SUMMARY:

Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing and regulatory functions of the Office of Financial Regulation. Among other things, the law amends provisions concerning licensing, notice filings, and other regulatory provisions in the area of securities regulation. The proposed rules implement and reflect the statutory changes. The proposed rules also revise provisions regarding net capital requirements for dealers and investment advisers.

RULEMAKING AUTHORITY:

517.03, 517.12, 517.121, 517.1215, 517.1201 FS.

LAW:

517.12, 517.121, 517.1201, 517.1205, 517.1215 FS.

PRINT PUBLISH DATE:

2/23/2007 Vol. 33/08

COMMENTS:

From 2/23/2007 To 3/16/2007 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

No reference(s).

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