Rule: 69W-600.0012 Prev Up Next
| Rule Title: Application for Registration as a Dealer (Non-FINRA) | |||
| 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: | 3/21/2024 |
| History Notes: | Rulemaking Authority 517.03(1), 517.12, 517.121(1) FS. Law Implemented 517.12 FS. History–New 12-29-15, Amended 11-26-19, 1-18-21, 2-14-23, 3-21-24. | |
| References in this version: |
Ref-06079 Form BDW Ref-06080 Form BR Ref-12552 Form U4 Instructions-Explanation of Terms-Form.pdf Ref-12561 Form U5 Instructions-Explanation of Terms-Form Ref-16503 Form BD, Uniform Application for Broker-Dealer Registration (5-23) |
| Notice / Adopted |
Description | ID | Publish Date |
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|---|---|---|---|---|
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Application for Registration as a Dealer (Non-FINRA) | 28114594 |
Effective: 03/21/2024 |
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Application for Registration as a Dealer (Non-FINRA) | 26781620 |
Effective: 02/14/2023 |
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Application for Registration as a Dealer (Non-FINRA) | 24064844 |
Effective: 01/18/2021 |
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Application for Registration as a Dealer (Non-FINRA) | 22602375 |
Effective: 11/26/2019 |
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Application for Registration as a Dealer (Non-FINRA) | 16900909 |
Effective: 12/29/2015 |
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