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 ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NOS.:RULE TITLES:

69W-600.001Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser

69W-600.0012Application for Registration as a Dealer (non-FINRA)

69W-600.0013Application for Registration as an Issuer/Dealer

69W-600.0015Canadian Dealer Notification

69W-600.0016Application for Registration as an Investment Adviser (State Registered)

69W-600.0017Notice-Filing for Federal Covered Advisers

69W-600.002Application for Registration as Associated Person

69W-600.0022Application for Registration as an Associated Person (Non-FINRA Dealer)

69W-600.0023Application for Registration as an Associated Person (Issuer/Dealer)

69W-600.0024Application for Registration as an Associated Person (Investment Adviser)

69W-600.003Multiple Registration

69W-600.0031Notice-Filing of Branch Office (FINRA Dealer)

69W-600.0032Notice-Filing of Branch Office (Non-FINRA Dealer)

69W-600.0033Notice Filing of Branch Office (Issuer/Dealer)

69W-600.0034Notice-Filing of Branch Office (Investment Adviser)

69W-600.004Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices

69W-600.005Examinations/Qualifications

69W-600.006Fingerprint Requirements

69W-600.007Changes in Name and Successor Registration Requirements

69W-600.008Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office

69W-600.009Registration and Notice-Filing Renewals

69W-600.0091Central Registration Depository System

69W-600.0092Investment Adviser Registration Depository for Federal Covered Advisers

69W-600.0093Investment Adviser Registration Depository for Investment Advisers

69W-600.010Notice of Civil, Criminal or Administrative Action

The Financial Services Commission, Office of Financial Regulation, announces a hearing to which all persons are invited.

DATE AND TIME: October 26, 2015, 10:00 a.m.

PLACE: Office of Financial Regulation, Room B103, 101 East Gaines St., Fletcher Building, Tallahassee, Florida 32399

GENERAL SUBJECT MATTER TO BE CONSIDERED: 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.

The agenda will be available at:

http://www.flofr.com/StaticPages/NoticesOfPublicMeetingsHearingsAndWorkshops.htm. It will be available no later than one week prior to the hearing date.

For more information, you may contact: Jodi-Ann Livingstone, [phone], [e-mail].