Florida Department of State and Division of Library and Information Services
Notice: 29728965
Notice of Proposed Rule
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-600.0011   Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser
69W-600.0012   Application for Registration as a Dealer (Non-FINRA)
69W-600.0016   Application for Registration as an Investment Adviser (State Registered)
69W-600.0018   Notice-Filing and Requirements for Florida Intrastate Crowdfunding Issuers
69W-600.0019   Registration of Florida Limited Offering Intermediaries
RULEMAKING AUTHORITY: 517.03(1), 517.0611, 517.12, 517.121, 517.1611, FS.
LAW: 517.0611, 517.12, 517.161, 517.1611, FS
PRINT PUBLISH DATE: 7/1/2025   Vol. 51/127
COMMENTS: From 7/1/2025 To 7/22/2025 (21 Days)
Send a one-time comment to the Agency.
Communicate with the Agency with saved comments and agency replies.

Comments submitted through FLRules.org shall be 8000 characters or less. Comments that exceed the character limit should be submitted directly to the agency pursuant the instructions in the Notice of Proposed Rule. The submitter is responsible for ensuring that the agency has received the comment.
REFERENCE MATERIALS: No reference(s).


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