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: 16723205. Notice-Filing and Requirements for Florida Intrastate Crowdfunding Issuers, Registration of Florida Intrastate Crowdfunding Intermediaries, Requirements for Florida Intrastate Crowdfunding Intermediaries
Published on: 16669079. Notice-Filing and Requirements for Florida Intrastate Crowdfunding Issuers, Registration of Florida Intrastate Crowdfunding Intermediaries, Requirements for Florida Intrastate Crowdfunding Intermediaries
Published on: 16561894. The Office of Financial Regulation proposes to create new rules to implement Ch. 2015-171, Laws of Florida (the Florida Intrastate Crowdfunding Exemption), which was signed into law on June 17, 2015. The legislation requires the Financial Services Commission to implement some of its provisions by rule.
Published on: 16360328. The Office of Financial Regulation is developing new rules to implement Ch. 2015-171, Laws of Florida (the Florida Intrastate Crowdfunding Exemption), signed into law on June 17, 2015. The legislation requires the Financial Services Commission to implement some of its provisions by rule.
Published on: 16352956. The Office of Financial Regulation is developing new rules to implement Ch. 2015-171, Laws of Florida (the Florida Intrastate Crowdfunding Exemption), signed into law on June 17, 2015. The legislation requires the Financial Services Commission to implement some of its provisions by rule.