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.
Published on: 22020472. 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.
Published on: 16668788. Application for Registration as a Dealer (non-FINRA), Application for Registration as an Issuer/Dealer, Application for Registration as an Investment Adviser (State Registered), Notice-Filing for Federal Covered Advisers, Application for Registration as an Associated Person (Non-FINRA Dealer), Application for Registration as an Associated Person (Issuer/Dealer), Application for Registration as an Associated Person (Investment Adviser), Notice-Filing of Branch Office (FINRA Dealer), Notice-Filing of Branch Office (Non-FINRA Dealer), Notice Filing of Branch Office (Issuer/Dealer), Notice-Filing of Branch Office (Investment Adviser)
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
Published on: 16560924. Application for Registration as a Dealer (non-FINRA), Application for Registration as an Issuer/Dealer, Application for Registration as an Investment Adviser (State Registered), Notice-Filing for Federal Covered Advisers, Application for Registration as an Associated Person (Non-FINRA Dealer), Application for Registration as an Associated Person (Issuer/Dealer), Application for Registration as an Associated Person (Investment Adviser), Notice-Filing of Branch Office (FINRA Dealer), Notice-Filing of Branch Office (Non-FINRA Dealer), Notice Filing of Branch Office (Issuer/Dealer), Notice-Filing of Branch Office (Investment Adviser)
Published on: 16308142. 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.; August 17, 2015, 10:00 a.m.; Office of Financial Regulation, Room B103, 200 East Gaines St., Fletcher Building, Tallahassee, Florida 32399.
Published on: 16199793. The Office proposes to create new registration/notice-filing rules for entities required to be registered or notice-filed under Chapter 517, Florida Statutes. The Office identified 14 of these categories and proposes to create separate rules for each (11 new, plus amendments to 3 existing rules). The purpose and effect of these changes are to improve organization and clarify and provide applicants with a single rule containing the requirements for the registration type they are applying for. 13 existing rules in Chapter 69W, F.A.C. are identified for repeal with the provisions of those rules appearing in the proposed new rules as applicable to each registration type.