9308428, 69W-301.002 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 9308428

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

PROCEDURAL RULES FOR PROCESSING

Overview

RULE:

69W-301.002

Processing of Applications and Notice-Filings (Repealed)

PURPOSE:

The agency intends to amend Rule 69W-301.002, F.A.C., to adopt the latest versions of the Form ADV, Uniform Application for Investment Adviser Registration Form, which reflects amendments to Parts 1 and Part 2 of the form, and Form BD, Uniform Application for Broker-Dealer Registration. These forms reflect federal standards that have been approved by the Securities and Exchange Commission (SEC). The forms are available on the SEC’s website: www.sec.gov.

SUBJECT:

Securities Regulation.

RULEMAKING AUTHORITY:

517.03(1), 517.12, 517.1201, 517.081(2), 517.082(4) FS.

LAW:

120.60(1), 517.051, 517.075, 517.081, 517.082, 517.12, 517.161(5) FS.

PRINT PUBLISH DATE:

10/29/2010 Vol. 36/43

RELATED STATUTES
AND LAWS:

517.03(1), 517.12, 517.1201, 517.081(2), 517.082(4) FS., 120.60(1), 517.051, 517.075, 517.081, 517.082, 517.12, 517.161(5) 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-301.002&PDate=10/29/2010&Section=1

REFERENCE MATERIALS:

No reference(s).

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