Rule: 69W-600.0034 Prev Up Next
| Rule Title: Notice-Filing of Branch Office (Investment Adviser) | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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| Division: | Securities | ||
| Chapter: | REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS | ||
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
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Effective Date: | 12/29/2015 |
| History Notes: | Rulemaking Authority 517.03(1), 517.1202 FS. Law Implemented 517.1202 FS. History–New 12-29-15. | |
| References in this version: |
Ref-06080 Form BR |
| Notice / Adopted |
Description | ID | Publish Date |
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Notice-Filing of Branch Office (Investment Adviser) | 16902364 |
Effective: 12/29/2015 |
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Application for Registration as a Dealer (non-FINRA), Application for Registration as an Issuer/Dealer, Application for Registration as an Investment Adviser (State Registered), Notice-Filing for Federal .... | 16668788 |
10/27/2015 Vol. 41/209 |
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The Office will hold a public hearing to discuss changes to its proposed rules relating to registration/notice-filing of entities regulated .... October 26, 2015, 10:00 a.m. Office of Financial Regulation, Room B103, 101 East Gaines St., .... |
16566938 |
10/2/2015 Vol. 41/192 |
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Application for Registration as a Dealer (non-FINRA), Application for Registration as an Issuer/Dealer, Application for Registration as an Investment Adviser (State Registered), Notice-Filing for Federal .... | 16560924 |
10/1/2015 Vol. 41/191 |
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The Office will hold a public hearing to discuss changes to its proposed rules relating to registration/notice-filing of entities regulated .... August 17, 2015, 10:00 a.m. Office of Financial Regulation, Room B103, 200 East Gaines St., .... |
16308142 |
8/7/2015 Vol. 41/153 |
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The Office proposes to create new registration/notice-filing rules for entities required to be registered or notice-filed under Chapter 517, Florida Statutes. The Office identified 14 of these categories and proposes to .... | 16199793 |
7/14/2015 Vol. 41/135 |
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The Office proposes to create new registration/notice-filing rules for entities required to be registered or notice-filed under Chapter 517, Florida Statutes. The Office identified 14 of these categories and proposes to .... | 16079998 |
6/12/2015 Vol. 41/114 |
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