Rule: 69W-400.002 Prev Up Next
| Rule Title: Registration of Issuer Under Section 517.051(9), F.S., as Issuer/Dealer (Repealed) | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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| Division: | Securities | ||
| Chapter: | EXEMPT SECURITIES | ||
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 FS. Law Implemented 517.051(9), 517.12 FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-400.02, 3E-400.002, Amended 5-6-15, Repealed 12-29-15. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
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Registration of Issuer Under Section 517.051(9), F.S., as Issuer/Dealer (Repealed) | 16895574 |
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, .... |
16568684 |
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., .... |
16567326 |
10/2/2015 Vol. 41/192 |
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This is the Final Public Hearing on the adoption of a proposed repeal of this rule, originally published on July 14, 2015, Vol. 41, No. 135, .... October 27, 2015, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
16507186 |
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., .... |
16308336 |
8/7/2015 Vol. 41/153 |
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The Office proposes to repeal this rule as part of a rule re-organization effort for registration types under Chapter 517, Florida Statutes, in order to improve organization and clarity. The provisions of this rule are proposed .... | 16184564 |
7/14/2015 Vol. 41/135 |
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The Office proposes to repeal this rule as part of a rule re-organization effort for registration types under Chapter 517, Florida Statutes, in order to improve organization and clarity. The provisions of this rule are .... | 16079707 |
6/12/2015 Vol. 41/114 |
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Registration of Issuer Under Section 517.051(9), F.S., as Issuer/Dealer | 15918105 |
Effective: 05/06/2015 |
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The purpose and effect of these proposed amendments is to update cross-references and re-organize provisions relating to financial reporting and net capital requirements for issuer-dealers under s. 517.051(9), F.S. References .... | 15563279 |
1/29/2015 Vol. 41/19 |
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Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, .... December 18, 2014, 1:30 p.m. Room B103, Office of Financial Regulation, 200 East Gaines Street, .... |
15344156 |
12/4/2014 Vol. 40/234 |
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This rule is proposed to be amended to update cross-references to proposed new rule 69W-600.0151, a consolidated financial reporting and net capital rule for dealers and issuer-dealers. The net capital requirement provisions .... | 15274025 |
11/24/2014 Vol. 40/228 |
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The proposed rule amendment corrects a cross-reference in paragraph (1)(a) from paragraph 69W-300.002(5)(c) to 69W-300.002(5)(a), F.A.C. | 11513044 |
5/25/2012 Vol. 38/21 |
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Registration of Issuer Under Section 517.051(9), F.S., as Dealer | 2862487 |
Effective: 09/20/1982 |
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