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: 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
Published on: 14550211. The rules are proposed for amendment to: update references to incorporated material; correct cross-references; adopt FINRA 3240 in whole in Rule 69W-600.013 (previously adopted only in part); adopt MSRB Definitional Rules D-13, D-14, G-42, and G-43; adopt appendices E, F, and G to SEC Rule 15c3-1 in Rule 69W-600.016; and adopt Exhibit A of SEC Rule 15c3-3 in Rule 69W-600.017. The Office of Financial Regulation proposes to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into a new proposed rule 69W-200.002, F.A.C. that conforms with Section 120.54(1)(i), F.S. The proposed amendments would reference 69W-200.002, F.A.C., where the material can be accessed via the FAR.
Published on: 14449913. The rules are proposed for amendment to update references to incorporated material. The Office of Financial Regulation proposes to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into a new proposed rule 69W-200.002, F.A.C. that conforms with Section 120.54(1)(i), F.S. The proposed amendments would reference 69W-200.002, F.A.C., where the material can be accessed via the FAR.
Published on: 6455561. This is the Final Public Hearing on the adoption of proposed Rules 69W-600.013, 69W-600.0131, and 69W-600.0133, Florida Administrative Code, published on September 26, 2008, in Vol. 34, No. 39, of the Florida Administrative Weekly. A Notice of Change for Rule 69W-600.0133 was published on November 14, 2008, in Vol. 34, No. 46, of the Florida Adminstrative Weekly. The rules relate to securities regulation. The proposed rules prohibit the misleading use by any person of senior and retiree designations while also providing a means by which the Office may recognize the use of certain designations which have been accredited. The rules are based on the model rule adopted on March 20, 2008, by the North American Securities Administrators Association (NASAA) regarding the use of senior-specific certifications and professional designations.; December 9, 2008, 9:00 a.m., during a regular meeting of the Financial Services Commission.; Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, Florida