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: 17904665. Rules of Conduct, Prohibited Business Practices for Dealers and Their Associated Persons, Prohibited Business Practices for Investment Advisers and Their Associated Persons, Books and Records Requirements
Published on: 17860918. Rules of Conduct, Prohibited Business Practices for Dealers and Their Associated Persons, Prohibited Business Practices for Investment Advisers and Their Associated Persons, Books and Records Requirements
Published on: 17686997. The Office proposes to amend Rules 69W-600.012, .013, .0131, and .014, F.A.C., to update references to repealed rules. Additionally, the Office proposes to amend Rule 69W-600.014, F.A.C., to add certain recordkeeping requirements for investment advisers; and Rule 69W-600.0131, F.A.C., to add charging a customer an advisory fee greater than the amount authorized in a written investment advisory contract as a prohibited business practice for investment advisers and their associated persons.
Published on: 14896889. This is the Final Public Hearing on the adoption of proposed amendments to these rules, originally published on May 19, 2014, Vol. 40, No. 97, Florida Administrative Register and revised in subsequent Notices of Change.; August 19, 2014, 9:00 a.m., during a regular meeting of the Financial Services Commission.; Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, Florida.
Published on: 14666611. Fingerprint Requirements, Rules of Conduct, Prohibited Business Practices for Dealers and Their Associated Persons, Prohibited Business Practices for Investment Advisers and Their Associated Persons, Custody Requirements for Investment Advisers, Use of Senior - Specific Certifications and Professional Designations by Associated Persons and Investment Advisers, Books and Records Requirements, Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers, Net Capital Requirements for Dealers and Investment Advisers, Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities, Continuing Education Requirements