Published on: 27941643. The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, which amended chapter 517, Florida Statutes, to no longer require the registration of issuers or their associated persons and to clarify ....
Published on: 27426185. The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, which amended chapter 517, Florida Statutes, to no longer require the registration of issuers or their associated persons and to clarify ....
Published on: 17839287. The rule is proposed to be amended to delete reference to repealed Rule 69W-600.004(1), F.A.C., and replace it with Rule 69W-600.0013(5)(a), F.A.C.
Published on: 15563473. This rule is proposed to be amended to change a cross-reference to current 69W-300.002 to proposed new rule 69W-600.0151, a consolidated financial reporting and net capital rule for dealers and issuer-dealers.
Published on: 15344253. Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, 600.015, and 600.016; and proposed creation of new rules 69W-600.0151 and 600.0161. The proposed rules relate generally to updated financial reporting, custody, recordkeeping, and compliance procedures and practices requirements for Florida state-registered investment advisers.; December 18, 2014, 1:30 p.m.; Room B103, Office of Financial Regulation, 200 East Gaines Street, Fletcher Building, Tallahassee, FL 32399.