|
|
|
|
Notice of Meeting/Workshop Hearing
|
 |
|
|
|
|
|
|
|
|
|
|
|
|
| 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(FINRA Dealer) | | 69W-600.004 | Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed) | | 69W-600.005 | Examinations/Qualifications (Repealed) | | 69W-600.006 | Fingerprint Requirements (Repealed) | | 69W-600.007 | Changes in Name and Successor Registration Requirements (Repealed) | | 69W-600.008 | Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office (Repealed) | | 69W-600.009 | Registration and Notice-Filing Renewals (Repealed) | | 69W-600.0091 | Central Registration Depository System (Repealed) | | 69W-600.0092 | Investment Adviser Registration Depository for Federal Covered Advisers (Repealed) | | 69W-600.0093 | Investment Adviser Registration Depository for Investment Advisers (Repealed) | | 69W-600.010 | Notice of Civil, Criminal or Administrative Action (Repealed) | | 69W-600.012 | Rules of Conduct | | 69W-600.013 | Prohibited Business Practices for Dealers and Their Associated Persons | | 69W-600.0131 | Prohibited Business Practices for Investment Advisers and Their Associated Persons | | 69W-600.0132 | Custody Requirements for Investment Advisers | | 69W-600.014 | Books and Records Requirements | | 69W-600.015 | Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed) | | 69W-600.016 | Net Capital Requirements for Dealers and Investment Advisers (Repealed) | | 69W-600.017 | Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities | | 69W-600.020 | Continuing Education Requirements (Repealed) |
|
|
|
| |
The Financial Services Commission, Office of Financial Regulation announces a hearing to which all persons are invited. |
|
|
|
|
|
|
|
|
|
|
|
| |
A copy of the agenda may be obtained by contacting: Governor and Cabinet website at: http://www.myflorida.com/myflorida/cabinet/mart.html. The agenda should be available approximately one week before the cabinet meeting.
Pursuant to the provisions of the Americans with Disabilities Act, any person requiring special accommodations to participate in this workshop/meeting is asked to advise the agency at least 48 hours before the workshop/meeting by contacting: Andrea Moreland, Office of Financial Regulation, at (850)410-9601, email: andrea.moreland@flofr.com. If you are hearing or speech impaired, please contact the agency using the Florida Relay Service, 1(800)955-8771 (TDD) or 1(800)955-8770 (Voice).
For more information, you may contact: Andrea Moreland, Office of Financial Regulation at (850)410-9601, email: andrea.moreland@flofr.com.
|
|
| 10/1/2010 Vol. 36/39 |
|
|
|
No reference(s).
|