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 Multiple Registration (Repealed)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 Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed)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 Examinations/Qualifications (Repealed)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 Fingerprint Requirements (Repealed)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 Changes in Name and Successor Registration Requirements (Repealed)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 Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office (Repealed)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 Registration and Notice-Filing Renewals (Repealed)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 Notice of Civil, Criminal or Administrative Action (Repealed)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, Issuer/Dealer, or Investment Adviser
69W-600.012. Rules of Conduct
69W-600.0012. Application for Registration as a Dealer (Non-FINRA)
69W-600.0013. Application for Registration as an Issuer/Dealer
69W-600.013. Prohibited Business Practices for Dealers and Their Associated Persons
69W-600.014. Books and Records Requirements
69W-600.0015. Canadian Dealer Notice-Filing
69W-600.015. Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed)
69W-600.016. Net Capital Requirements for Dealers and Investment Advisers (Repealed)
69W-600.0016. Application for Registration as an Investment Adviser (State Registered)
69W-600.0017. Notice-Filing for Federal Covered Advisers
69W-600.017. Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
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 Continuing Education Requirements (Repealed)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)
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)
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 and Professional Designations by Associated Persons and Investment Advisers
69W-600.0145. Requirements for Florida Intrastate Crowdfunding Intermediaries
69W-600.0151. Net Capital and Financial Reporting Requirements for Dealers and Issuer/Dealers
69W-600.0161. Net Capital and Financial Reporting Requirements for Investment Advisers