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: 23841356. Application for Registration as a Dealer (FINRA), Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer, Canadian Dealer Notice-Filing, Application for ....
Published on: 23718166. 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 make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) ....
Published on: 23611078. 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 make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) a prohibited business practice for dealers, to clarify investment adviser records requirements, to replace the terms “representative” and “investment adviser representative” for consistency, to clarify the grandfathering provisions of the exam requirements for the registration of investment advisers and their associated persons, to grant applicants for registration under chapter 517, Florida Statutes, an additional 30 days to submit requested information, to allow the Office to abandon an application if an applicant fails to provide timely additional information, and to remove duplicative language authorizing the Office to request certified documentation.
Published on: 16667915. Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser, Canadian Dealer Notification, Application for Registration as Associated Person
Published on: 16566938. The Office will hold a public hearing to discuss changes to its proposed rules relating to registration/notice-filing of entities regulated under Chapter 517, F.S., published in the FAR on July 14, 2015.; October 26, 2015, 10:00 a.m.; Office of Financial Regulation, Room B103, 101 East Gaines St., Fletcher Building, Tallahassee, Florida 32399