4428940, 69W-600.002 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 4428940

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.002

Application for Registration as Associated Person (FINRA Dealer)

PURPOSE:

Chapter 2007-63, Laws of Florida, relates to the regulation of securities transactions. This law amends Section 517.12, Florida Statutes, to increase fees applicable to the registration of associated persons. Statutory fees are increased from $30 to $50. The rule is amended to conform to the new statutory requirements.

SUBJECT:

Securities Regulation/Registration of Associated Persons.

RULEMAKING AUTHORITY:

517.03(1), 517.12(6) FS.

LAW:

517.12, 517.1205 FS.

PRINT PUBLISH DATE:

8/3/2007 Vol. 33/31

RELATED STATUTES
AND LAWS:

517.03(1), 517.12(6) FS., 517.12, 517.1205 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-600.002&PDate=8/3/2007&Section=1

REFERENCE MATERIALS:

No reference(s).

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