69W-600.002 : Application for Registration as Associated Person (FINRA Dealer) - Florida Administrative Rules, Law, Code, Register

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Rule Title: Application for Registration as Associated Person (FINRA Dealer)
Department:	DEPARTMENT OF FINANCIAL SERVICES	Add to MyFLRules Favorites
Division:	Securities
Chapter:	REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Latest version of the final adopted rule presented in Florida Administrative Code (FAC):

	Effective Date:	10/1/2024
	History Notes:	Rulemaking Authority 517.03(1), 517.12, 517.121(1) FS. Law Implemented 517.12 FS. History–New 9-20-82, Formerly 3E-301.02, Amended 10-15-86, 10-4-88, 6-24-90, 7-29-90, 10-14-90, 8-1-91, 6-16-92, 6-28-93, 11-14-93, 3-13-94, 4-30-96, 12-29-96, 6-22-98, 5-10-00, 9-19-00, 7-31-02, 12-11-03, Formerly 3E-600.002, Amended 3-16-06, 5-15-07, 12-24-07, 12-25-08, 11-22-10, 5-29-12, 11-11-13, 12-29-15, 9-25-18, 11-26-19, 1-18-21, 2-14-23, 3-21-24, 10-1-24.
	References in this version:	Ref-12556 Form U4 Instructions-Explanation of Terms-Form.pdf Ref-12564 Form U5 Instructions-Explanation of Terms-Form Ref-17050 Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001, effective 10/2024

History of this Rule since Jan. 6, 2006

Section	Description	ID	Publish Date

Final 69W-600.002	Application for Registration as Associated Person (FINRA Dealer)	28753630	Effective: 10/01/2024
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
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
Final 69W-600.002	Application for Registration as Associated Person (FINRA Dealer)	28115176	Effective: 03/21/2024
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
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
Final 69W-600.002	Application for Registration as Associated Person (FINRA Dealer)	26781911	Effective: 02/14/2023
Public Hearing 69W-600.001 ......	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
Proposed 69W-600.001 ......	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
Development 69W-600.001 ......	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
Final 69W-600.002	Application for Registration as Associated Person (FINRA Dealer)	24065426	Effective: 01/18/2021
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
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
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
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) ....	23468973	7/28/2020 Vol. 46/146
Final 69W-600.002	Application for Registration as Associated Person (FINRA Dealer)	22602763	Effective: 11/26/2019
Change 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, Application for Registration as an Investment ....	22399839	9/20/2019 Vol. 45/184
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 incorporate, in relevant part, the contents of and remove ....	22252787	8/13/2019 Vol. 45/157
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 incorporate, in relevant part, the contents of and remove ....	22020472	6/20/2019 Vol. 45/120
Final 69W-600.002	Application for Registration as Associated Person (FINRA Dealer)	20880140	Effective: 09/25/2018
Correction 69W-600.002 ......	Application for Registration as Associated Person (FINRA Dealer), Application for Registration as an Associated Person (Non-FINRA Dealer), Application for Registration as an Associated Person (Issuer/Dealer), ....	20677410	7/25/2018 Vol. 44/144
Proposed 69W-600.002 ......	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
Development 69W-600.002 ......	The purpose and effect is to amend existing rules to adopt a form relating to military fee waiver procedures for military personnel, veterans, and spouses seeking registration or renewal of registration as any of the following: ....	20455474	5/24/2018 Vol. 44/102
Final 69W-600.002	Application for Registration as Associated Person (FINRA Dealer)	16901588	Effective: 12/29/2015
Change 69W-600.001 ......	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
Public Hearing 69W-600.001 ......	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
Change 69W-600.001 ......	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
Public Hearing 69W-600.001 ......	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
Proposed 69W-600.001 ......	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
Development 69W-600.001 ......	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
Final 69W-600.002	Application for Registration as Associated Person	13733374	Effective: 11/11/2013
Public Meeting 69W-600.001 ......	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
Proposed 69W-600.001 ......	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
Development 69W-600.001 ......	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
Final 69W-600.002	Application for Registration as Associated Person	11523132	Effective: 05/29/2012
Public Hearing 69W-600.002 ......	This is the Final Public Hearing on the adoption of proposed amendments to Rules 69W-600.002 and 69W-600.006, F.A.C., published on March 30, .... April 24, 2012, 9:00 a.m., during a regular meeting of the Financial .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....	11374043	4/13/2012 Vol. 38/15
Proposed 69W-600.002 ......	: Rules 69W-600.002 and 69W-600.006, F.A.C., are being amended to reduce fingerprint processing fees from $43.25 to $40.50. The current fee of $43.25 represents $24 charged by the Florida Department of Law Enforcement for ....	11155502	3/30/2012 Vol. 38/13
Development 69W-600.002 ......	Rules 69W-600.002 and 69W-600.006, F.A.C., are being amended to reduce fingerprint processing fees from $43.25 to $40.50. The current fee of $43.25 represents $24 charged by the Florida Department of Law Enforcement for ....	11151913	3/9/2012 Vol. 38/10
Final 69W-600.002	Application for Registration as Associated Person	9395243	Effective: 11/22/2010
Public Hearing 69W-600.001 ......	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
Proposed 69W-600.001 ......	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
Development 69W-600.001 ......	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
Final 69W-600.002	Application for Registration as Associated Person	6536750	Effective: 12/25/2008
Public Hearing 69W-600.002 ......	This is the Final Public Hearing on the adoption of proposed rules 69W-600.002 and 69W-600.006, Florida Administrative Code, published on September .... November 20, 2008, 9:00 a.m. Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....	6389795	11/7/2008 Vol. 34/45
Proposed 69W-600.002 ......	The rules are being amended to increase fingerprint processing fees from $42.25 to $43.25. The current fee of $42.25 represents $23 charged by the Florida Department of Law Enforcement for a state criminal history check ....	4611203	9/26/2008 Vol. 34/39
Development 69W-600.002 ......	The rules are being amended to increase fingerprint processing fees from $42.25 to $43.25. The current fee of $42.25 represents $23 charged by the Florida Department of Law Enforcement for a state criminal history check ....	5808765	7/3/2008 Vol. 34/27
Final 69W-600.002	Application for Registration as Associated Person	5005508	Effective: 12/24/2007
Proposed 69W-600.002 ......	Rules 69W-600.002 and 69W-600.006, F.A.C., are being amended to reduce fingerprint processing fees from $47 to $42.25. The current fee of $47 represents $23 charged by the Florida Department of Law Enforcement for a state ....	4672507	10/5/2007 Vol. 33/40
Development 69W-600.002 ......	Rules 69W-600.002 and 69W-600.006, F.A.C., are being amended to reduce fingerprint processing fees from $47 to $42.25. The current fee of $47 represents $23 charged by the Florida Department of Law Enforcement for a state ....	4577447	9/7/2007 Vol. 33/36
Development 69W-600.002	Chapter 2007-63, Laws of Florida, relates to the regulation of securities transactions. This law amends Section 517.12, Florida Statutes, to increase fees applicable to the registration of associated persons. Statutory fees ....	4428940	8/3/2007 Vol. 33/31
Final 69W-600.002	Application for Registration as Associated Person	4119898	Effective: 05/15/2007
Proposed 69W-600.001 ......	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
Development 69W-600.001 ......	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
Final 69W-600.002	Application for Registration as Associated Person	2864136	Effective: 03/16/2006

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