Rule: 69W-600.004 Prev Up Next
| Rule Title: Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed) | |||
| 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), 517.12(6), 517.1202 FS. Law Implemented 517.12(5), (6), (10), 517.1202 FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.04, Amended 10-14-90, 6-16-92, 1-11-93, 11-7-93, 11-14-93, 12-29-96, 10-20-97, 6-10-99, 8-19-99, 5-27-01, 7-31-02, Formerly 3E-600.004, Amended 3-16-06, 5-15-07, 11-22-10, 10-29-12, 11-11-13, Repealed 12-29-15. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
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Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed) | 16902461 |
Effective: 12/29/2015 |
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This hearing, noticed on September 22, 2015, is cancelled. A rescheduled public hearing will be noticed on October 2, 2015. October 27, 2015, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
16568878 |
10/2/2015 Vol. 41/192 |
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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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This is the Final Public Hearing on the proposed repeal of these rules, originally published on July 14, 2015, Vol. 41, No. 135, Florida Administrative .... October 27, 2015, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
16507380 |
9/22/2015 Vol. 41/184 |
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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 repeal these rules and replace them with new registration rules under Chapter 517, Florida Statutes, to be separated by registration type. The purpose and effect of these changes are to improve organization .... | 16143145 |
7/14/2015 Vol. 41/135 |
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The Office proposes to repeal these rules and replace them with new registration rules under Chapter 517, Florida Statutes, to be separated by registration type. The purpose and effect of these changes are to improve organization .... | 16079610 |
6/12/2015 Vol. 41/114 |
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Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices | 13733471 |
Effective: 11/11/2013 |
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This is the Final Public Hearing on the adoption of proposed amendments to Rule 69W-600.001, .002, .004, .006, .007, .008, .009, .0091, .0092, .... September 24, 2013, 9:00 a.m., during a regularly scheduled .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
13499507 |
9/11/2013 Vol. 39/177 |
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The proposed rule amendments amend 11 rules regarding the registration of dealers, investment advisers, and associated persons, generally to reflect statutory changes as a result of Chapters 2013-201 and 2013-202, Laws of .... | 13274661 |
8/14/2013 Vol. 39/158 |
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The proposed rule amendments amend 11 rules regarding the registration of dealers, investment advisers, and associated persons, generally to reflect statutory changes as a result of Chapters 2013-201 and 2013-202, Laws of .... | 13238965 |
7/16/2013 Vol. 39/137 |
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Registration of Issuer/Dealers, Principals and Branch Offices | 12164981 |
Effective: 10/29/2012 |
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Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser, Registration of Issuer/Dealers, Principals and Branch Offices, Termination of Registration as Dealer, Investment Adviser, .... | 11906185 |
8/24/2012 Vol. 38/34 |
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This is the Final Public Hearing on the adoption of proposed amendments to these rules, published on July 6, 2012, Vol. 38, No. 27, Florida .... August 21, 2012, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
11887561 |
8/17/2012 Vol. 38/33 |
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Rule 69W-600.001, F.A.C., is recommended for amendment to strike subparagraph (1)(b)6., as this provision is redundant of existing books and records requirements, and to add a requirement for control persons and/or owners .... | 11676683 |
7/6/2012 Vol. 38/27 |
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Rule 69W-600.001, F.A.C., is to be amended to strike subparagraph (1)(b)6., which requires proof of clearing agreements when requested by the Office, and to add a requirement for control persons and/or owners to provide .... | 11525945 |
5/25/2012 Vol. 38/21 |
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Registration of Issuer/Dealers, Principals and Branch Offices | 9395340 |
Effective: 11/22/2010 |
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This is the Final Public Hearing on the adoption of proposed amendments to Rules 69W-600.001, .0015, .002, .004, .005, .006, .007, .008, .009, .... October 12, 2010, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
9199788 |
10/1/2010 Vol. 36/39 |
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The rules are amended to reflect the latest versions of materials incorporated by reference in the rules, including federal regulations, federal statutes, forms, Financial Industry Regulatory Authority (FINRA) rules, New .... | 8904423 |
8/20/2010 Vol. 36/33 |
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The rules are amended to update references to materials not included within Florida law, including agency forms, federal statutes, federal regulations, Financial Industry Regulatory Authority (FINRA) forms and rules, New .... | 8074685 |
12/24/2009 Vol. 35/51 |
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Registration of Issuer/Dealers, Principals and Branch Offices | 4119995 |
Effective: 05/15/2007 |
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Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing .... | 3829868 |
2/23/2007 Vol. 33/08 |
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Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing .... | 3333034 |
12/22/2006 Vol. 32/51 |
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Registration of Issuer/Dealers, Principals and Branch Offices | 2864330 |
Effective: 03/16/2006 |
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