Rule: 69W-600.0019 Prev Up Next
| Rule Title: Registration of Florida Limited Offering Intermediaries | |||
| 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: | 10/1/2024 |
| History Notes: | Rulemaking Authority 517.03(1), 517.12(19), 517.121(1), 517.1611 FS. Law Implemented 517.12(19), 517.1611 FS. History–New 12-29-15, Amended 1-18-21, 3-21-24, 10-1-24. | |
| References in this version: |
Ref-16982 Registration of Florida Limited Offering Intermediary Application, Form FLO-INT (10/2024) |
| Notice / Adopted |
Description | ID | Publish Date |
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Registration of Florida Limited Offering Intermediaries | 28753533 |
Effective: 10/01/2024 |
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The purpose and effect is to implement Chapter 2023-205, Laws of Florida, and Chapter 2024-168, Laws of Florida, amend the professional designations which satisfy the examination requirements pertaining to examination requirements .... | 28542946 |
7/12/2024 Vol. 50/136 |
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The purpose and effect is to implement Chapter 2023-205, Laws of Florida, and Chapter 2024-168, Laws of Florida, amend the professional designations which satisfy the examination requirements pertaining to examination requirements .... | 28472621 |
6/20/2024 Vol. 50/121 |
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Registration of Florida Limited Offering Intermediaries | 28115079 |
Effective: 03/21/2024 |
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Registration of Florida Intrastate Crowdfunding Intermediaries, Custody Requirements for Investment Advisers | 28088404 |
2/23/2024 Vol. 50/38 |
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The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27941934 |
1/17/2024 Vol. 50/11 |
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The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27426282 |
8/11/2023 Vol. 49/156 |
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Registration of Florida Intrastate Crowdfunding Intermediaries | 24065329 |
Effective: 01/18/2021 |
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Application for Registration as a Dealer (FINRA), Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer, Canadian Dealer Notice-Filing, Application for .... | 23841356 |
11/4/2020 Vol. 46/216 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... | 23718166 |
10/2/2020 Vol. 46/193 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... | 23611078 |
9/3/2020 Vol. 46/173 |
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Registration of Florida Intrastate Crowdfunding Intermediaries | 16901491 |
Effective: 12/29/2015 |
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Notice-Filing and Requirements for Florida Intrastate Crowdfunding Issuers, Registration of Florida Intrastate Crowdfunding Intermediaries, Requirements for Florida Intrastate Crowdfunding Intermediaries.... | 16723205 |
11/4/2015 Vol. 41/215 |
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Notice-Filing and Requirements for Florida Intrastate Crowdfunding Issuers, Registration of Florida Intrastate Crowdfunding Intermediaries, Requirements for Florida Intrastate Crowdfunding Intermediaries.... | 16669079 |
10/27/2015 Vol. 41/209 |
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The Office of Financial Regulation proposes to create new rules to implement Ch. 2015-171, Laws of Florida (the Florida Intrastate Crowdfunding Exemption), which was signed into law on June 17, 2015. The legislation requires .... | 16561894 |
10/1/2015 Vol. 41/191 |
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The Office of Financial Regulation is developing new rules to implement Ch. 2015-171, Laws of Florida (the Florida Intrastate Crowdfunding Exemption), signed into law on June 17, 2015. The legislation requires the Financial .... | 16360328 |
8/19/2015 Vol. 41/161 |
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The Office of Financial Regulation is developing new rules to implement Ch. 2015-171, Laws of Florida (the Florida Intrastate Crowdfunding Exemption), signed into law on June 17, 2015. The legislation requires the Financial .... | 16352956 |
8/18/2015 Vol. 41/160 |
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