Rule: 69W-800.001 Prev Up Next
| Rule Title: Filing - Notification Registration Including Shelf Filings | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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| Division: | Securities | ||
| Chapter: | NOTIFICATION REGISTRATION OF SECURITIES | ||
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) FS. Law Implemented 517.082 FS. History–New 10-15-86, Amended 12-8-87, 7-31-91, 10-1-96, 10-20-97, Formerly 3E-800.001, Amended 11-22-10, 10-29-12, 9-22-14, 11-25-19, 8-8-21, 3-21-24. | |
| References in this version: |
Ref-11275 Form U-2 Uniform Consent to Service of Process (6-2016) Ref-16511 Form U-1, Uniform Application to Register Securities (04/17/23) |
| Notice / Adopted |
Description | ID | Publish Date |
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Filing - Notification Registration Including Shelf Filings | 28116922 |
Effective: 03/21/2024 |
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The purpose and effect is to incorporate Form U-1, Uniform Application to Register Securities, as amended on April 17, 2023, into the rules. | 27942322 |
1/12/2024 Vol. 50/09 |
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The purpose and effect is to incorporate Form U-1, Uniform Application to Register Securities, as amended on April 17, 2023 into the rule. | 27426476 |
8/11/2023 Vol. 49/156 |
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Filing - Notification Registration Including Shelf Filings | 24805924 |
Effective: 08/08/2021 |
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The purpose and effect is to amend the existing rule to allow an applicant for notification registration or shelf filing notice not in conflict with the provisions of section 517.082(3), Florida Statutes, to elect to file .... | 24505612 |
5/7/2021 Vol. 47/89 |
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The purpose and effect is to amend the existing rule to allow an applicant for notification registration or shelf filing notice not in conflict with the provisions of section 517.082(3), Florida Statutes, to elect to file .... | 24435190 |
4/20/2021 Vol. 47/76 |
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Filing - Notification Registration Including Shelf Filings | 22604412 |
Effective: 11/25/2019 |
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Filing - Notification Registration Including Shelf Filings | 22397317 |
9/19/2019 Vol. 45/183 |
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The purpose and effect is to amend Rules 69W-800.001 and 69W-800.004, F.A.C., to incorporate by reference the current versions of forms and to make the same available for public access through electronic hyperlink. Rule .... | 22252302 |
8/13/2019 Vol. 45/157 |
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The purpose and effect is to amend Rules 69W-800.001 and 69W-800.004, F.A.C., to incorporate by reference the current versions of forms and to make the same available for public access through electronic hyperlink. Rule .... | 22020666 |
6/20/2019 Vol. 45/120 |
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Filing - Notification Registration Including Shelf Filings | 15035987 |
Effective: 09/22/2014 |
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This is the Final Public Hearing on the adoption of proposed amendments to this rule, originally published on May 19, 2014, Vol. 40, No. 97, .... August 19, 2014, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
14897277 |
8/4/2014 Vol. 40/150 |
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Filing - Notification Registration Including Shelf Filings | 14666805 |
6/10/2014 Vol. 40/112 |
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The rule is proposed for amendment to update references to incorporated material. The Office of Financial Regulation proposes to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into a new proposed .... | 14550890 |
5/19/2014 Vol. 40/97 |
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The rule is proposed for amendment to update references to incorporated material. The Office of Financial Regulation proposes to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into a new proposed .... | 14450301 |
4/15/2014 Vol. 40/73 |
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Filing - Notification Registration Including Shelf Filings | 12164108 |
Effective: 10/29/2012 |
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Filing - Notification Registration Including Shelf Filings | 11906379 |
8/24/2012 Vol. 38/34 |
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This is the Final Public Hearing on the adoption of proposed amendments to this rule, published on July 6, 2012, Vol. 38, No. 27, Florida Administrative .... August 21, 2012, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
11887755 |
8/17/2012 Vol. 38/33 |
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Rule 69W-800.001, F.A.C., is recommended for amendment to change the word “telegraphic” in subsection (4) to “electronic” to reflect other forms of electronic delivery. | 11686480 |
7/6/2012 Vol. 38/27 |
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Rule 69W-800.001, F.A.C., is to be amended to change the word “Telegraphic” in subsection (4) to “Electronic” to reflect other forms of electronic delivery. | 11513917 |
5/25/2012 Vol. 38/21 |
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Filing - Notification Registration Including Shelf Filings | 9397474 |
Effective: 11/22/2010 |
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This is the Final Public Hearing on the adoption of proposed amendments to Rules 69W-800.001, .003, and .004, F.A.C., published on August 20, .... October 12, 2010, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
9200370 |
10/1/2010 Vol. 36/39 |
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Rule 69W-800.001, F.A.C., is amended to reflect the latest versions of federal regulations referenced in the rule, clarify the appropriate forms that must be filed for notification registrations and shelf filings, and reference .... | 8905684 |
8/20/2010 Vol. 36/33 |
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Rule 69W-800.001, F.A.C., is amended to reflect the most current versions of federal regulations referenced in the rule, clarify the appropriate forms that must be filed for notification registrations and shelf filings, .... | 8069738 |
12/24/2009 Vol. 35/51 |
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Filing - Notification Registration Including Shelf Filings | 2868404 |
Effective: 10/20/1997 |
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