Reference: Ref-06089
| Reference Name: | Form U4 |
| Agency: | 69 Department of Financial Services 69W Securities |
| Original Document(s): |
|
|||||
|---|---|---|---|---|---|---|
| Modified Document(s): | No Modified document(s). | |||||
| Description: | ||||||
Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.
Rules/Notices using this Reference Material| Notice / Adopted |
Description | ID | Publish Date |
|
|---|---|---|---|---|
|
Notice-Filing for Federal Covered Advisers | 22602666 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as Associated Person (FINRA Dealer) | 22602763 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as an Associated Person (Non-FINRA Dealer) | 22602860 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as an Associated Person (Issuer/Dealer) | 22602957 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) | 22603054 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as a Dealer (FINRA) | 22602278 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as a Dealer (Non-FINRA) | 22602375 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as an Issuer/Dealer | 22602472 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as an Investment Adviser (State Registered) | 22602569 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as an Associated Person (Issuer/Dealer) | 20880334 |
Effective: 09/25/2018 |
|
|
|
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) | 20880431 |
Effective: 09/25/2018 |
|
|
|
Application for Registration as Associated Person (FINRA Dealer) | 20880140 |
Effective: 09/25/2018 |
|
|
|
Application for Registration as an Associated Person (Non-FINRA Dealer) | 20880237 |
Effective: 09/25/2018 |
|
|
|
The Office of Financial Regulation proposes to amend existing rules to conform to and implement Chapter No. 2018-7, Laws of Florida (Military Fee Waiver), which was signed into law on March 14, 2018. The legislation requires .... | 20553638 |
6/19/2018 Vol. 44/119 |
|
|
|
Application for Registration as a Dealer (FINRA) | 16900812 |
Effective: 12/29/2015 |
|
|
|
Application for Registration as Associated Person (FINRA Dealer) | 16901588 |
Effective: 12/29/2015 |
|
|
|
Application for Registration as an Associated Person (Non-FINRA Dealer) | 16901685 |
Effective: 12/29/2015 |
|
|
|
Application for Registration as an Associated Person (Issuer/Dealer) | 16901782 |
Effective: 12/29/2015 |
|
|
|
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) | 16901879 |
Effective: 12/29/2015 |
|
|
|
Application for Registration as a Dealer (Non-FINRA) | 16900909 |
Effective: 12/29/2015 |
|
|
|
Application for Registration as an Issuer/Dealer | 16901006 |
Effective: 12/29/2015 |
|
|
|
Application for Registration as an Investment Adviser (State Registered) | 16901200 |
Effective: 12/29/2015 |
|
|
|
Notice-Filing for Federal Covered Advisers | 16901297 |
Effective: 12/29/2015 |
|