Notice: 3333034
Notice of Development of Rulemaking
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview


RULE:
69W-600.001   Application for Registration as a Dealer (FINRA)
69W-600.0015   Canadian Dealer Notice-Filing
69W-600.002   Application for Registration as Associated Person (FINRA Dealer)
69W-600.004   Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed)
69W-600.006   Fingerprint Requirements (Repealed)
69W-600.009   Registration and Notice-Filing Renewals (Repealed)
69W-600.0091   Central Registration Depository System (Repealed)
69W-600.0092   Investment Adviser Registration Depository for Federal Covered Advisers (Repealed)
69W-600.0093   Investment Adviser Registration Depository for Investment Advisers (Repealed)
69W-600.014   Books and Records Requirements
69W-600.016   Net Capital Requirements for Dealers and Investment Advisers (Repealed)
RULEMAKING AUTHORITY: 517.03, 517.12, 517.121, 517.1215, 517.1201 FS.
LAW: 517.12, 517.121, 517.1201, 517.1205, 517.1215 FS.
PRINT PUBLISH DATE: 12/22/2006   Vol. 32/51

RELATED STATUTES
AND LAWS:
517.03, 517.12, 517.121, 517.1215, 517.1201 FS., 517.12, 517.121, 517.1201, 517.1205, 517.1215 FS.

OVERSIGHT COMMITTEE: Joint Administrative Procedures Committee
Florida Administrative Law Central Online Network (F.A.L.C.O.N.)

RELATED COURT CASES: Division of Administrative Hearings

FEDERAL eRULEMAKING
WEB PORTAL:
Regulations.gov

HOW TO LINK TO
THIS NOTICE:
http://flrules.org/gateway/ruleno.asp?id=69W-600.001&PDate=12/22/2006&Section=1
REFERENCE MATERIALS: No reference(s).