Rule: 69W-600.0019 Prev   Up   Next

Rule Title: Registration of Florida Limited Offering Intermediaries
Department: DEPARTMENT OF FINANCIAL SERVICES    Add to MyFLRules Favorites
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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):

VIEW_RULE 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)
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.0019
Registration of Florida Limited Offering Intermediaries 28753533 Effective:
10/01/2024
View Text Proposed
69W-600.0016
......
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
View Text Development
69W-600.0016
......
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
View Text Final
69W-600.0019
Registration of Florida Limited Offering Intermediaries 28115079 Effective:
03/21/2024
View Text Correction
69W-600.0019
......
Registration of Florida Intrastate Crowdfunding Intermediaries, Custody Requirements for Investment Advisers 28088404 2/23/2024
Vol. 50/38
View Text Proposed
69W-600.001
......
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
View Text Development
69W-600.001
......
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
View Text Final
69W-600.0019
Registration of Florida Intrastate Crowdfunding Intermediaries 24065329 Effective:
01/18/2021
View Text Correction
69W-600.001
......
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
View Text Proposed
69W-600.001
......
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
View Text Development
69W-600.001
......
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
View Text Final
69W-600.0019
Registration of Florida Intrastate Crowdfunding Intermediaries 16901491 Effective:
12/29/2015
View Text Correction
69W-600.0018
......
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
View Text Change
69W-600.0018
......
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
View Text Proposed
69W-600.0018
......
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
View Text Development
69W-600.0018
......
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
View Text Development
69W-600.00145
......
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