Rule: 69W-600.001 Prev Up Next
| Rule Title: Application for Registration as a Dealer (FINRA) | |||
| 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: | 3/21/2024 |
| History Notes: | Rulemaking Authority 517.03(1), 517.12, 517.121(1) FS. Law Implemented 517.12 FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.01, Amended 7-29-90, 8-1-91, 6-16-92, 1-11-93, 11-14-93, 4-30-96, 6-22-98, 5-10-00, 9-19-00, 7-31-02, Formerly 3E-600.001, Amended 3-16-06, 5-15-07, 11-22-10, 10-29-12, 11-11-13, 12-29-15, 11-26-19, 1-18-21, 2-14-23, 3-21-24. | |
| References in this version: |
Ref-06079 Form BDW Ref-06080 Form BR Ref-12549 Form U4 Instructions-Explanation of Terms-Form Ref-12560 Form U5 Instructions-Explanation of Terms-Form Ref-16499 Form BD, Uniform Application for Broker-Dealer Registration (5-23) |
| Notice / Adopted |
Description | ID | Publish Date |
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Application for Registration as a Dealer (FINRA) | 28114400 |
Effective: 03/21/2024 |
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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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Application for Registration as a Dealer (FINRA) | 26781426 |
Effective: 02/14/2023 |
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This is a public hearing to discuss the proposed rulemaking of Rules 69W-600.001, 69W-600.0011, 69W-600.0012, 69W-600.0013, 69W-600.0016, 69W-600.002, .... December 13, 2022, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, .... |
26599066 |
12/5/2022 Vol. 48/234 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26344344 |
9/30/2022 Vol. 48/191 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26274795 |
9/12/2022 Vol. 48/177 |
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Application for Registration as a Dealer (FINRA) | 24064747 |
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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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) .... | 23468973 |
7/28/2020 Vol. 46/146 |
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Application for Registration as a Dealer (FINRA) | 22602278 |
Effective: 11/26/2019 |
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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, Application for Registration as an Investment .... | 22399839 |
9/20/2019 Vol. 45/184 |
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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 incorporate, in relevant part, the contents of and remove .... | 22252787 |
8/13/2019 Vol. 45/157 |
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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 incorporate, in relevant part, the contents of and remove .... | 22020472 |
6/20/2019 Vol. 45/120 |
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Application for Registration as a Dealer (FINRA) | 16900812 |
Effective: 12/29/2015 |
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Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser, Canadian Dealer Notification, Application for Registration as Associated Person | 16667915 |
10/27/2015 Vol. 41/209 |
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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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Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser, Canadian Dealer Notification, Application for Registration as Associated Person | 16560342 |
10/1/2015 Vol. 41/191 |
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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 amend these rules as part of a rule re-organization effort for registration types under Chapter 517, Florida Statutes, in order to improve organization and clarity. 69W-600.001 is proposed for amendment .... | 16187765 |
7/14/2015 Vol. 41/135 |
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The Office proposes to amend these rules as part of a rule re-organization effort for registration types under Chapter 517, Florida Statutes, in order to improve organization and clarity. 69W-600.001 is proposed for amendment .... | 16078931 |
6/12/2015 Vol. 41/114 |
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Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser | 13733277 |
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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Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser | 12164884 |
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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Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser | 9395049 |
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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Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser | 4119413 |
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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Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser | 2864039 |
Effective: 03/16/2006 |
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