Rule: 69W-600.0015 Prev Up Next
| Rule Title: Canadian Dealer Notice-Filing | |||
| 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, 517.12, 517.121(1) FS. Law Implemented 517.12 FS. History–New 5-15-07, Amended 11-22-10, 12-29-15, 1-18-21, 3-21-24. | |
| References in this version: |
Ref-06091 OFR Form CAN |
| Notice / Adopted |
Description | ID | Publish Date |
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Canadian Dealer Notice-Filing | 28114788 |
Effective: 03/21/2024 |
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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 |
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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 |
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Canadian Dealer Notice-Filing | 24065038 |
Effective: 01/18/2021 |
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Application for Registration as a Dealer (FINRA), Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer, Canadian Dealer Notice-Filing, Application for .... | 23841356 |
11/4/2020 Vol. 46/216 |
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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 make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... | 23718166 |
10/2/2020 Vol. 46/193 |
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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 make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... | 23611078 |
9/3/2020 Vol. 46/173 |
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Canadian Dealer Notice-Filing | 16901103 |
Effective: 12/29/2015 |
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Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser, Canadian Dealer Notification, Application for Registration as Associated Person | 16667915 |
10/27/2015 Vol. 41/209 |
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The Office will hold a public hearing to discuss changes to its proposed rules relating to registration/notice-filing of entities regulated .... October 26, 2015, 10:00 a.m. Office of Financial Regulation, Room B103, 101 East Gaines St., .... |
16566938 |
10/2/2015 Vol. 41/192 |
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Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser, Canadian Dealer Notification, Application for Registration as Associated Person | 16560342 |
10/1/2015 Vol. 41/191 |
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The Office will hold a public hearing to discuss changes to its proposed rules relating to registration/notice-filing of entities regulated .... August 17, 2015, 10:00 a.m. Office of Financial Regulation, Room B103, 200 East Gaines St., .... |
16308142 |
8/7/2015 Vol. 41/153 |
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The Office proposes to amend these rules as part of a rule re-organization effort for registration types under Chapter 517, Florida Statutes, in order to improve organization and clarity. 69W-600.001 is proposed for amendment .... | 16187765 |
7/14/2015 Vol. 41/135 |
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The Office proposes to amend these rules as part of a rule re-organization effort for registration types under Chapter 517, Florida Statutes, in order to improve organization and clarity. 69W-600.001 is proposed for amendment .... | 16078931 |
6/12/2015 Vol. 41/114 |
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Canadian Dealer Notification | 9395146 |
Effective: 11/22/2010 |
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This is the Final Public Hearing on the adoption of proposed amendments to Rules 69W-600.001, .0015, .002, .004, .005, .006, .007, .008, .009, .... October 12, 2010, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
9199788 |
10/1/2010 Vol. 36/39 |
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The rules are amended to reflect the latest versions of materials incorporated by reference in the rules, including federal regulations, federal statutes, forms, Financial Industry Regulatory Authority (FINRA) rules, New .... | 8904423 |
8/20/2010 Vol. 36/33 |
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The rules are amended to update references to materials not included within Florida law, including agency forms, federal statutes, federal regulations, Financial Industry Regulatory Authority (FINRA) forms and rules, New .... | 8074685 |
12/24/2009 Vol. 35/51 |
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Canadian Dealer Notification | 4119607 |
Effective: 05/15/2007 |
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Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing .... | 3829868 |
2/23/2007 Vol. 33/08 |
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Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing .... | 3333034 |
12/22/2006 Vol. 32/51 |
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