Rule: 69W-600.0011 Prev Up Next
| Rule Title: Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser | |||
| 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: | 9/16/2025 |
| History Notes: | Rulemaking Authority 517.1611(2) FS. Law Implemented 517.12, 517.161 FS. History–New 9-2-10, Amended 12-5-19, 2-14-23, 3-21-24, 9-16-25. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
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|---|---|---|---|---|
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Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser | 29939940 |
Effective: 09/16/2025 |
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Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser | 28114497 |
Effective: 03/21/2024 |
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Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser | 26781523 |
Effective: 02/14/2023 |
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Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser | 22625267 |
Effective: 12/05/2019 |
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Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser | 9042842 |
Effective: 09/02/2010 |
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