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Rule: 69W-600.002 Prev   Up   Next

Rule Title: Application for Registration as Associated Person (FINRA Dealer)
Department: DEPARTMENT OF FINANCIAL SERVICES    Add to MyFLRules Favorites
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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):

VIEW_RULE 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
Notice /
Adopted		 Section Description ID Publish
Date
View Text Final
69W-600.002 		Application for Registration as Associated Person (FINRA Dealer) 28753630 Effective:
10/01/2024
View Text Final
69W-600.002 		Application for Registration as Associated Person (FINRA Dealer) 28115176 Effective:
03/21/2024
View Text Final
69W-600.002 		Application for Registration as Associated Person (FINRA Dealer) 26781911 Effective:
02/14/2023
View Text Final
69W-600.002 		Application for Registration as Associated Person (FINRA Dealer) 24065426 Effective:
01/18/2021
View Text Final
69W-600.002 		Application for Registration as Associated Person (FINRA Dealer) 22602763 Effective:
11/26/2019
View Text Final
69W-600.002 		Application for Registration as Associated Person (FINRA Dealer) 20880140 Effective:
09/25/2018
View Text Final
69W-600.002 		Application for Registration as Associated Person (FINRA Dealer) 16901588 Effective:
12/29/2015
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69W-600.002 		Application for Registration as Associated Person 13733374 Effective:
11/11/2013
View Text Final
69W-600.002 		Application for Registration as Associated Person 11523132 Effective:
05/29/2012
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69W-600.002 		Application for Registration as Associated Person 9395243 Effective:
11/22/2010
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69W-600.002 		Application for Registration as Associated Person 6536750 Effective:
12/25/2008
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69W-600.002 		Application for Registration as Associated Person 5005508 Effective:
12/24/2007
View Text Final
69W-600.002 		Application for Registration as Associated Person 4119898 Effective:
05/15/2007
View Text Final
69W-600.002 		Application for Registration as Associated Person 2864136 Effective:
03/16/2006


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