Rule: 69W-600.0021 Prev Up Next
| Rule Title: Effect of Law Enforcement Records on Applications for Registration as Associated Persons | |||
| 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: | 12/5/2019 |
| History Notes: | Rulemaking Authority 517.1611(2) FS. Law Implemented 517.12, 517.161 FS. History–New 3-2-10, Amended 12-5-19. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
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Effect of Law Enforcement Records on Applications for Registration as Associated Persons | 22625364 |
Effective: 12/05/2019 |
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Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser, Effect of Law Enforcement Records on Applications for Registration as Associated Persons.... | 22466575 |
10/9/2019 Vol. 45/197 |
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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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The Florida Office of Financial Regulation (“Office”) hereby gives notice that on September 20, 2011, the Office issued a Final Order. The Final Order was in response to a Petition for Variance from or Waiver of Rule 69W-600.0021, .... | 10473689 |
10/7/2011 Vol. 37/40 |
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Mr. Mickey P. McLellan. | 10334591 |
8/26/2011 Vol. 37/34 |
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a variance or waiver. Petitioner’s Name: Mickey P. McLellan Rule No.: 69W-600.0021, F.A.C. Nature of the rule for which variance or waiver is sought: The rule relates to the effect of law enforcement records on applications .... | 9114331 |
9/17/2010 Vol. 36/37 |
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Effect of Law Enforcement Records on Applications for Registration as Associated Persons | 8309425 |
Effective: 03/02/2010 |
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Effect of Law Enforcement Records on Applications for Registration as Associated Persons | 8130557 |
1/15/2010 Vol. 36/02 |
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This is the Final Public Hearing on the adoption of proposed Rule 69W-600.0021, F.A.C., published on October 23, 2009, in Vol. 35, No. 42 of .... January 26, 2010, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
8130751 |
1/15/2010 Vol. 36/02 |
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Effect of Law Enforcement Records on Applications for Registration as Associated Persons | 8098935 |
1/8/2010 Vol. 36/01 |
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The proposed rule imposes disqualifying periods pursuant to which an applicant will be disqualified from eligibility for registration based upon criminal convictions, pleas of nolo contendere, or pleas of guilt, regardless .... | 7820157 |
10/23/2009 Vol. 35/42 |
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The proposed rule imposes disqualifying periods pursuant to which an applicant will be disqualified from eligibility for registration based upon criminal convictions, pleas of nolo contendere, or pleas of guilt, regardless .... | 7528284 |
8/21/2009 Vol. 35/33 |
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