Rule: 69W-600.0022 Prev Up Next
| Rule Title: Application for Registration as an Associated Person (Non-FINRA Dealer) | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
 Add to MyFLRules Favorites |
|
| Division: | Securities | ||
| Chapter: | REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS | ||
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
|
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 12-29-15, Amended 9-25-18, 11-26-19, 1-18-21, 2-14-23, 3-21-24, 10-1-24. | |
| References in this version: |
Ref-12557 Form U4 Instructions-Explanation of Terms-Form.pdf Ref-12565 Form U5 Instructions-Explanation of Terms-Form Ref-17051 Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001, effective 10/2024 |
| Notice / Adopted |
Description | ID | Publish Date |
|
|---|---|---|---|---|
|
Application for Registration as an Associated Person (Non-FINRA Dealer) | 28753727 |
Effective: 10/01/2024 |
|
|
|
Application for Registration as an Associated Person (Non-FINRA Dealer) | 28115273 |
Effective: 03/21/2024 |
|
|
|
Application for Registration as an Associated Person (Non-FINRA Dealer) | 26782008 |
Effective: 02/14/2023 |
|
|
|
Application for Registration as an Associated Person (Non-FINRA Dealer) | 24065523 |
Effective: 01/18/2021 |
|
|
|
Application for Registration as an Associated Person (Non-FINRA Dealer) | 22602860 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as an Associated Person (Non-FINRA Dealer) | 20880237 |
Effective: 09/25/2018 |
|
|
|
Application for Registration as an Associated Person (Non-FINRA Dealer) | 16901685 |
Effective: 12/29/2015 |
|