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Florida Administrative Code (Last Updated: June 27, 2024) |
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69. Department of Financial Services |
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69W. Securities |
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69W-600. Registration Of Dealers, Investment Advisers, Associated Persons |
| 69W-600.001. Application for Registration as a Dealer (FINRA) |
| 69W-600.002. Application for Registration as Associated Person (FINRA Dealer) |
| 69W-600.003. Multiple Registration (Repealed) |
| 69W-600.004. Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed) |
| 69W-600.005. Examinations/Qualifications (Repealed) |
| 69W-600.006. Fingerprint Requirements (Repealed) |
| 69W-600.007. Changes in Name and Successor Registration Requirements (Repealed) |
| 69W-600.008. Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office (Repealed) |
| 69W-600.009. Registration and Notice-Filing Renewals (Repealed) |
| 69W-600.010. Notice of Civil, Criminal or Administrative Action (Repealed) |
| 69W-600.0011. Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser |
| 69W-600.0012. Application for Registration as a Dealer (Non-FINRA) |
| 69W-600.012. Rules of Conduct |
| 69W-600.013. Prohibited Business Practices for Dealers and Their Associated Persons |
| 69W-600.0013. Application for Registration as an Issuer/Dealer (Repealed) |
| 69W-600.014. Books and Records Requirements |
| 69W-600.015. Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed) |
| 69W-600.0015. Canadian Dealer Notice-Filing |
| 69W-600.0016. Application for Registration as an Investment Adviser (State Registered) |
| 69W-600.016. Net Capital Requirements for Dealers and Investment Advisers (Repealed) |
| 69W-600.017. Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities |
| 69W-600.0017. Notice-Filing for Federal Covered Advisers |
| 69W-600.0018. Notice-Filing and Requirements for Florida Intrastate Crowdfunding Issuers |
| 69W-600.0019. Registration of Florida Intrastate Crowdfunding Intermediaries |
| 69W-600.020. Continuing Education Requirements (Repealed) |
| 69W-600.0021. Effect of Law Enforcement Records on Applications for Registration as Associated Persons |
| 69W-600.0022. Application for Registration as an Associated Person (Non-FINRA Dealer) |
| 69W-600.0023. Application for Registration as an Associated Person (Issuer/Dealer) (Repealed) |
| 69W-600.0024. Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) |
| 69W-600.0031. Notice-Filing of Branch Office (FINRA Dealer) |
| 69W-600.0032. Notice-Filing of Branch Office (Non-FINRA Dealer) |
| 69W-600.0033. Notice Filing of Branch Office (Issuer/Dealer) (Repealed) |
| 69W-600.0034. Notice-Filing of Branch Office (Investment Adviser) |
| 69W-600.0091. Central Registration Depository System (Repealed) |
| 69W-600.0092. Investment Adviser Registration Depository for Federal Covered Advisers (Repealed) |
| 69W-600.0093. Investment Adviser Registration Depository for Investment Advisers (Repealed) |
| 69W-600.0131. Prohibited Business Practices for Investment Advisers and Their Associated Persons |
| 69W-600.0132. Custody Requirements for Investment Advisers |
| 69W-600.0133. Use of Senior - Specific Certifications or Senior-Specific Professional Designations by Associated Persons and Investment Advisers |
| 69W-600.0141. Notification of Delay of Disbursement/Transaction from Account of Specified Adult |
| 69W-600.0145. Requirements for Florida Intrastate Crowdfunding Intermediaries |
| 69W-600.0151. Net Capital and Financial Reporting Requirements for Dealers |
| 69W-600.0161. Net Capital and Financial Reporting Requirements for Investment Advisers |