Notice: 28114400
Final Adopted Version in F.A.C.
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)
RULE FILE DATE: 3/1/2024
RULE EFFECTIVE DATE: 3/21/2024
HISTORY NOTES: Rulemaking Authority 517.03(1), 517.12, 517.121(1) FS. Law Implemented 517.12 FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.01, Amended 7-29-90, 8-1-91, 6-16-92, 1-11-93, 11-14-93, 4-30-96, 6-22-98, 5-10-00, 9-19-00, 7-31-02, Formerly 3E-600.001, Amended 3-16-06, 5-15-07, 11-22-10, 10-29-12, 11-11-13, 12-29-15, 11-26-19, 1-18-21, 2-14-23, 3-21-24.

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 RULES
AND REGULATIONS:
Electronic Code of Federal Regulations

HOW TO LINK TO
THIS NOTICE:
http://flrules.org/gateway/ruleno.asp?id=69W-600.001&Section=0
REFERENCE MATERIALS: Ref-06079 Form BDW
Ref-06080 Form BR
Ref-12549 Form U4 Instructions-Explanation of Terms-Form
Ref-12560 Form U5 Instructions-Explanation of Terms-Form
Ref-16499 Form BD, Uniform Application for Broker-Dealer Registration (5-23)