Published on: 27941934. The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority ....
Published on: 27426282. The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority ....
Published on: 26599066. This is a public hearing to discuss the proposed rulemaking of Rules 69W-600.001, 69W-600.0011, 69W-600.0012, 69W-600.0013, 69W-600.0016, 69W-600.002, .... December 13, 2022, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, ....
Published on: 26344344. The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration ....
Published on: 26274795. The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration ....
Published on: 22466575. Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser, Effect of Law Enforcement Records on Applications for Registration as Associated Persons
Published on: 22252787. The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove cross-reference to Rule 69W-301.002, Florida Administrative Code (F.A.C.), to include the Securities Industry Essentials (SIE) exam (a new exam required for registration with the Financial Industry Regulatory Authority (FINRA)) where applicable, to incorporate section 248.30 of Regulation S-P (17 C.F.R. §248.30) into the book and record requirements for dealers, as well as, to make the violation of the same a prohibited business practice, to repeal Rule 69W-600.020, F.A.C., to update cross-references, and to enhance clarity throughout the chapter.