69W-700.001 : Registration of Securities - Florida Administrative Rules, Law, Code, Register

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Rule Title: Registration of Securities
Department:	DEPARTMENT OF FINANCIAL SERVICES	Add to MyFLRules Favorites
Division:	Securities
Chapter:	REGISTRATION OF SECURITIES

Latest version of the final adopted rule presented in Florida Administrative Code (FAC):

	Effective Date:	10/1/2024
	History Notes:	Rulemaking Authority 517.03 FS. Law Implemented 517.07, 517.081, 517.101 FS. History–New 9-20-82, Formerly 3E-20.011, 3E-700.01, Amended 7-31-91, Formerly 3E-700.001, Amended 9-22-14, 12-29-15, 11-25-19, 1-17-21, 8-8-21, 3-21-24, 10-1-24.
	References in this version:	Ref-11275 Form U-2 Uniform Consent to Service of Process (6-2016) Ref-17044 Form OFR-S-1-91, Application for Registration of Securities (10-2024) Ref-17045 Form OFR-S-12-97, SCOR (Small Corporate Offering Registration) Application to Register Securities (10-2024) Ref-17046 OFR-S-7-91, Exhibit 1 (General Issue) (10-2024)

History of this Rule since Jan. 6, 2006

Section	Description	ID	Publish Date

Final 69W-700.001	Registration of Securities	28754794	Effective: 10/01/2024
Proposed 69W-700.001 ......	The purpose and effect is to implement Chapter 2024-168, Laws of Florida, to consolidate rules concerning the same subject matter, to remove an inaccurate citation, to use consistent terms, and to update cross-references.....	28543334	7/12/2024 Vol. 50/136
Development 69W-700.001 ......	The purpose and effect is to implement Chapter 2024-168, Laws of Florida, to consolidate rules concerning the same subject matter, to remove an inaccurate citation, to use consistent terms, and to update cross-references.....	28472718	6/20/2024 Vol. 50/121
Final 69W-700.001	Registration of Securities	28117795	Effective: 03/21/2024
Proposed 69W-700.001 ......	The purpose and effect is to incorporate updated forms, to replace “Federal Savings and Loan Insurance Corporation” with “Federal Deposit Insurance Corporation,” to clarify when registration involving the sale of non-voting ....	27942225	1/12/2024 Vol. 50/09
Development 69W-700.001 ......	The purpose and effect is to incorporate updated forms, to replace “Federal Savings and Loan Insurance Corporation” with “Federal Deposit Insurance Corporation,” to clarify when registration involving the sale of non-voting ....	27461105	8/21/2023 Vol. 49/162
Final 69W-700.001	Registration of Securities	24805827	Effective: 08/08/2021
Proposed 69W-700.001	The purpose and effect is to amend the existing rule to allow an applicant for registration of securities to elect to file the required application and filing fee through the North American Securities Administrators Association ....	24505806	5/7/2021 Vol. 47/89
Development 69W-700.001	The purpose and effect is to amend the existing rule to allow an applicant for registration of securities to elect to file the required application and filing fee through the North American Securities Administrators Association ....	24434705	4/20/2021 Vol. 47/76
Final 69W-700.001	Registration of Securities	24066396	Effective: 01/17/2021
Correction 69W-700.001	Registration of Securities	23839804	11/4/2020 Vol. 46/216
Proposed 69W-700.001	The purpose and effect is to amend the existing rule to grant an applicant for registration of securities an additional 30 days to submit requested information and to allow the Office to abandon an application if an applicant ....	23718554	10/2/2020 Vol. 46/193
Development 69W-700.001	The purpose and effect is to amend the existing rule to grant an applicant for registration of securities an additional 30 days to submit requested information and to allow the Office to abandon an application if an applicant ....	23610787	9/3/2020 Vol. 46/173
Final 69W-700.001	Registration of Securities	22604121	Effective: 11/25/2019
Change 69W-700.001	Registration of Securities	22399645	9/20/2019 Vol. 45/184
Proposed 69W-700.001 ......	The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms, to make the same available for public access through electronic hyperlinks, to delete references to obsolete ....	22252205	8/13/2019 Vol. 45/157
Development 69W-700.001 ......	The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms, to make the same available for public access through electronic hyperlinks, to delete references to obsolete ....	22020569	6/20/2019 Vol. 45/120
Final 69W-700.001	Registration of Securities	16895671	Effective: 12/29/2015
Change 69W-700.001	Registration of Securities	16668982	10/27/2015 Vol. 41/209
Public Hearing 69W-700.001	The Office will hold a public hearing to discuss changes to its proposed rules relating to registration of securities regulated under Chapter .... October 26, 2015, 10:00 a.m. Office of Financial Regulation, Room B103, 101 East Gaines St., ....	16567132	10/2/2015 Vol. 41/192
Change 69W-700.001	Registration of Securities	16560148	10/1/2015 Vol. 41/191
Proposed 69W-700.001	The Office proposes to amend this rule to re-add financial reporting provisions for securities registration that were contained in paragraph (6) of Rule 69W-300.002 (repealed 5/6/15) but were inadvertently not moved to another ....	16144115	7/14/2015 Vol. 41/135
Development 69W-700.001	The Office proposes to amend this rule to re-add financial reporting provisions for securities registration that were contained in paragraph (6) of Rule 69W-300.002 (repealed 5/6/15) but were inadvertently not moved to another ....	16079319	6/12/2015 Vol. 41/114
Final 69W-700.001	Registration of Securities	15037248	Effective: 09/22/2014
Public Meeting 69W-700.001 ......	This is the Final Public Hearing on the adoption of proposed amendments to these rules, originally published on May 19, 2014, Vol. 40, No. 97, .... August 19, 2014, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....	14897083	8/4/2014 Vol. 40/150
Change 69W-700.001 ......	Registration of Securities, Filing of Prospectus, Promoters Equity Investment Ratio, Voting Rights, Options or Warrants Granted Underwriters, Options and Warrants to Officers, Employees and Others, Preferred ....	14663798	6/10/2014 Vol. 40/112
Proposed 69W-700.001 ......	The rules are proposed for amendment to clearly state the forms required for the registration of securities; broaden the types of offerings to be all-inclusive and increase consumer protection; allow companies to determine ....	14550696	5/19/2014 Vol. 40/97
Development 69W-700.001 ......	The proposed amendments update the rules relating to the registration of securities.	14472805	4/22/2014 Vol. 40/78
Final 69W-700.001	Registration of Securities	2866076	Effective: 07/31/1991

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