Florida Department of State and Division of Library and Information Services

Rule Chapter: 69W-600
Chapter Title: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS Add to MyFLRules Favorites
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Version		 Rule No. Rule Title Effective
Date
Rule file 69W-600.001 Application for Registration as a Dealer (FINRA) 3/21/2024
Rule file 69W-600.0011 Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser 3/21/2024
Rule file 69W-600.0012 Application for Registration as a Dealer (Non-FINRA) 3/21/2024
Rule file 69W-600.0013 Application for Registration as an Issuer/Dealer (Repealed) 3/21/2024
Rule file 69W-600.0015 Canadian Dealer Notice-Filing 3/21/2024
Rule file 69W-600.0016 Application for Registration as an Investment Adviser (State Registered) 3/21/2024
Rule file 69W-600.0017 Notice-Filing for Federal Covered Advisers 3/21/2024
Rule file 69W-600.0018 Notice-Filing and Requirements for Florida Intrastate Crowdfunding Issuers 12/29/2015
Rule file 69W-600.0019 Registration of Florida Intrastate Crowdfunding Intermediaries 3/21/2024
Rule file 69W-600.002 Application for Registration as Associated Person (FINRA Dealer) 3/21/2024
Rule file 69W-600.0021 Effect of Law Enforcement Records on Applications for Registration as Associated Persons 12/5/2019
Rule file 69W-600.0022 Application for Registration as an Associated Person (Non-FINRA Dealer) 3/21/2024
Rule file 69W-600.0023 Application for Registration as an Associated Person (Issuer/Dealer) (Repealed) 3/21/2024
Rule file 69W-600.0024 Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) 3/21/2024
Rule file 69W-600.003 Multiple Registration (Repealed) 12/29/2015
Rule file 69W-600.0031 Notice-Filing of Branch Office (FINRA Dealer) 2/14/2023
Rule file 69W-600.0032 Notice-Filing of Branch Office (Non-FINRA Dealer) 11/26/2019
Rule file 69W-600.0033 Notice Filing of Branch Office (Issuer/Dealer) (Repealed) 3/21/2024
Rule file 69W-600.0034 Notice-Filing of Branch Office (Investment Adviser) 12/29/2015
Rule file 69W-600.004 Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed) 12/29/2015
Rule file 69W-600.005 Examinations/Qualifications (Repealed) 12/29/2015
Rule file 69W-600.006 Fingerprint Requirements (Repealed) 12/29/2015
Rule file 69W-600.007 Changes in Name and Successor Registration Requirements (Repealed) 12/29/2015
Rule file 69W-600.008 Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office (Repealed) 12/29/2015
Rule file 69W-600.009 Registration and Notice-Filing Renewals (Repealed) 12/29/2015
Rule file 69W-600.0091 Central Registration Depository System (Repealed) 12/29/2015
Rule file 69W-600.0092 Investment Adviser Registration Depository for Federal Covered Advisers (Repealed) 12/29/2015
Rule file 69W-600.0093 Investment Adviser Registration Depository for Investment Advisers (Repealed) 12/29/2015
Rule file 69W-600.010 Notice of Civil, Criminal or Administrative Action (Repealed) 12/29/2015
Rule file 69W-600.012 Rules of Conduct 3/21/2024
Rule file 69W-600.013 Prohibited Business Practices for Dealers and Their Associated Persons 3/21/2024
Rule file 69W-600.0131 Prohibited Business Practices for Investment Advisers and Their Associated Persons 3/21/2024
Rule file 69W-600.0132 Custody Requirements for Investment Advisers 3/21/2024
Rule file 69W-600.0133 Use of Senior - Specific Certifications or Senior-Specific Professional Designations by Associated Persons and Investment Advisers 3/21/2024
Rule file 69W-600.014 Books and Records Requirements 3/21/2024
Rule file 69W-600.0141 Notification of Delay of Disbursement/Transaction from Account of Specified Adult 1/18/2021
Rule file 69W-600.0145 Requirements for Florida Intrastate Crowdfunding Intermediaries 12/29/2015
Rule file 69W-600.015 Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed) 5/6/2015
Rule file 69W-600.0151 Net Capital and Financial Reporting Requirements for Dealers 3/21/2024
Rule file 69W-600.016 Net Capital Requirements for Dealers and Investment Advisers (Repealed) 5/6/2015
Rule file 69W-600.0161 Net Capital and Financial Reporting Requirements for Investment Advisers 3/21/2024
Rule file 69W-600.017 Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities 11/26/2019
Rule file 69W-600.020 Continuing Education Requirements (Repealed) 11/26/2019


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