Notice of Variances and Waivers

DEPARTMENT OF FINANCIAL SERVICES
Securities
RULE NO.: RULE TITLE:
69W-600.0021: Effect of Law Enforcement Records on Applications for Registration as Associated Persons
The Florida Office of Financial Regulation hereby gives notice:
The Florida Office of Financial Regulation (“Office”) hereby gives notice that on September 20, 2011, the Office issued a Final Order. The Final Order was in response to a Petition for Variance from or Waiver of Rule 69W-600.0021, Florida Administrative Code, Mr. Mickey P. McLellan filed August 31, 2010 and advertised by Notice 9114331 in Vol. 36, No. 37, in the September 17, 2010 edition of the Florida Administrative Weekly. The rule at issue relates to Office consideration of an applicant’s law enforcement record when deciding whether to approve an application for registration as an associated person. The Final Order grants the rule waiver on the basis of legal hardship. The Final Order adopted the Amended Notice of Intent Approving Petition for Variance from or Waiver of Rule 69W-600.0021, Florida Administrative Code, issued August 16, 2011 (“Amended NOI”). The Amended NOI was issued to replace the Notice of Intent Approving Petition for Variance from or Waiver of Rule 69W-600.0021, Florida Administrative Code, issued August 15, 2011 (“8/15/11 NOI”). The 8/15/11 NOI was advertised by Notice 10382606 in Vol. 37, No. 36, in the September 9, 2011 edition of the Florida Administrative Weekly. The Amended NOI and 8/15/11 NOI were identical except that the 8/15/11 contained an incorrect Notice of Rights.
A copy of the Order or additional information may be obtained by contacting:
Mary Howell, Agency Clerk, Office of Financial Regulation, 200 East Gaines Street, The Fletcher Building, Suite 526, Tallahassee, Florida 32399-0379, (850)410-9896.