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 |
 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: | 3/21/2024 |
| 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. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
|
|---|---|---|---|---|
|
Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser | 28114497 |
Effective: 03/21/2024 |
|
|
|
The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27941934 |
1/17/2024 Vol. 50/11 |
|
|
|
The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27426282 |
8/11/2023 Vol. 49/156 |
|
|
|
Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser | 26781523 |
Effective: 02/14/2023 |
|
|
|
This is a public hearing to discuss the proposed rulemaking of Rules 69W-600.001, 69W-600.0011, 69W-600.0012, 69W-600.0013, 69W-600.0016, 69W-600.002, .... December 13, 2022, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, .... |
26599066 |
12/5/2022 Vol. 48/234 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26344344 |
9/30/2022 Vol. 48/191 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26274795 |
9/12/2022 Vol. 48/177 |
|
|
|
Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser | 22625267 |
Effective: 12/05/2019 |
|
|
|
Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser, Effect of Law Enforcement Records on Applications for Registration as Associated Persons.... | 22466575 |
10/9/2019 Vol. 45/197 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove .... | 22252787 |
8/13/2019 Vol. 45/157 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove .... | 22020472 |
6/20/2019 Vol. 45/120 |
|
|
|
Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser | 9042842 |
Effective: 09/02/2010 |
|
|
This is the Final Public Hearing on the adoption of proposed Rule 69W-600.0011, F.A.C., published on June 4, 2010, in Vol. 36, No. 22 of the .... July 29, 2010, 9:00 a.m., during a regular meeting of the Financial .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
8882889 |
7/16/2010 Vol. 36/28 |
|
|
|
Section 517.1611(2), F.S., requires the Financial Services Commission to adopt registration disqualifying periods for applicants and their relevant persons based upon criminal convictions, pleas of nolo contendere, or pleas .... | 8563177 |
6/4/2010 Vol. 36/22 |
|
|
|
During the regular 2009 legislative session, the Florida Legislature passed House Bill 483, relating to investor protection. The bill was signed into law on June 29, 2009, and took effect on July 1, 2009. A key provision .... | 8078177 |
12/24/2009 Vol. 35/51 |
|