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Recent Updates

Total 497
69W-500.011. Registration of Issuer Under Section 517.061(11), F.S., as Dealer
Amendment    |   Updated: 03/21/2024
69W-600.001. Application for Registration as a Dealer (FINRA)
Amendment    |   Updated: 03/21/2024
69W-600.0011. Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser
Amendment    |   Updated: 03/21/2024
69W-600.0012. Application for Registration as a Dealer (Non-FINRA)
Amendment    |   Updated: 03/21/2024
69W-600.0015. Canadian Dealer Notice-Filing
Amendment    |   Updated: 03/21/2024
69W-600.0016. Application for Registration as an Investment Adviser (State Registered)
Amendment    |   Updated: 03/21/2024
69W-600.0017. Notice-Filing for Federal Covered Advisers
Amendment    |   Updated: 03/21/2024
69W-600.0019. Registration of Florida Intrastate Crowdfunding Intermediaries
Amendment    |   Updated: 03/21/2024
69W-600.002. Application for Registration as Associated Person (FINRA Dealer)
Amendment    |   Updated: 03/21/2024
69W-600.0022. Application for Registration as an Associated Person (Non-FINRA Dealer)
Amendment    |   Updated: 03/21/2024
69W-600.0024. Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
Amendment    |   Updated: 03/21/2024
69W-600.012. Rules of Conduct
Amendment    |   Updated: 03/21/2024
69W-600.013. Prohibited Business Practices for Dealers and Their Associated Persons
Amendment    |   Updated: 03/21/2024
69W-600.0131. Prohibited Business Practices for Investment Advisers and Their Associated Persons
Amendment    |   Updated: 03/21/2024
69W-600.0132. Custody Requirements for Investment Advisers
Amendment    |   Updated: 03/21/2024
69W-600.0133. Use of Senior - Specific Certifications or Senior-Specific Professional Designations by Associated Persons and Investment Advisers
Amendment    |   Updated: 03/21/2024
69W-600.014. Books and Records Requirements
Amendment    |   Updated: 03/21/2024
69W-600.0151. Net Capital and Financial Reporting Requirements for Dealers
Amendment    |   Updated: 03/21/2024
69W-600.0161. Net Capital and Financial Reporting Requirements for Investment Advisers
Amendment    |   Updated: 03/21/2024
69W-700.001. Registration of Securities
Amendment    |   Updated: 03/21/2024