Section 516.03, F.S., authorizes the Commission to require the electronic submission of any form, document, or fee, if such rules reasonably accommodate technological or financial hardships. Rule 69V-160.036, F.A.C., currently requires electronic ...

DEPARTMENT OF FINANCIAL SERVICES
Finance

Rule No.: RULE TITLE
69V-160.036: Electronic Filing of Forms and Fees
PURPOSE AND EFFECT: Section 516.03, F.S., authorizes the Commission to require the electronic submission of any form, document, or fee, if such rules reasonably accommodate technological or financial hardships. Rule 69V-160.036, F.A.C., currently requires electronic filing of documents and fees through the Office’s Regulatory Enforcement and Licensing System, and sets forth procedures for obtaining a hardship exemption from these requirements. The proposed rule amendments simplify the process of requesting a hardship exemption. In addition, the rule amendments set forth the types of technological or financial hardships that will enable a person to qualify for an exemption.
SUMMARY: The proposed rule amendments simplify the process of requesting an exemption from the requirement that forms and fees be filed electronically through the Office of Financial Regulation’s Regulatory Enforcement and Licensing (REAL) System. The amendments also set forth the types of technological or financial hardships that will enable a person to qualify for an exemption. This rule pertains to persons and businesses required to be licensed under Chapter 516, Florida Statutes.
SUMMARY OF STATEMENT OF ESTIMATED REGULATORY COSTS: A Statement of Estimated Regulatory Costs has been prepared. There are no transactional costs associated with the implementation of the proposed rule amendments. There will be no impact to small counties, cities or other state agencies. The rule currently requires applicants and licensees to file required forms and fees through the Office’s Regulatory Enforcement and Licensing (REAL) system. The current rule also provides that an applicant or licensee may apply for an exemption from electronic filing requirements. The proposed rule amendments simplify the process of requesting an exemption by allowing a person seeking an exemption to submit a form to the Office’s regulatory staff. The form sets forth the types of financial and technological hardships that will enable a person to qualify for an exemption.
Any person who wishes to provide information regarding a statement of estimated regulatory costs, or provide a proposal for a lower cost regulatory alternative must do so in writing within 21 days of this notice.
SPECIFIC AUTHORITY: 516.03 FS.
LAW IMPLEMENTED: 516.03 FS.
IF REQUESTED WITHIN 21 DAYS OF THE DATE OF THIS NOTICE, A HEARING WILL BE SCHEDULED AND ANNOUNCED IN FAW.
THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE IS: Gregory C. Oaks, Chief, Bureau of Regulatory Review, Finance, Division of Finance, Office of Financial Regulation, 200 East Gaines Street, Tallahassee, FL 32399-0376, phone [phone], Facsimile [phone], E-mail: [e-mail]

THE FULL TEXT OF THE PROPOSED RULE IS:

69V-160.036 Electronic Filing of Forms and Fees.

(1) For purposes of this rule, “REAL System” means the Office of Financial Regulation’s Regulatory Enforcement and Licensing System, which is accessible through the Office of Financial Regulation’s website at www.flofr.com.

(2) All forms adopted under Rule 69V-160.030, F.A.C., must be filed with the Office of Financial Regulation through the REAL system.

(3) All fees required to be filed with the Office of Financial Regulation under Rules 69V-160.030 and 69V-160.031, F.A.C., must be filed through the REAL System.

(4) Any person may request an exemption from the electronic filing requirements of this rule by submitting Form OFR-516-02, Request for Exemption from Electronic Filing Requirements, a written request to: Office of Financial Regulation, Division of Finance, Bureau of Regulatory Review, 200 E. Gaines Street, Tallahassee, Florida 32399-0351. The request must set forth the person’s technological or financial hardship that makes it difficult for the person to file forms and pay fees electronically. The request must be legible and include the applicant’s or licensee’s name, contact person, address and telephone number. The Office of Financial Regulation will provide any person granted an exemption under this subsection with instructions on how to file forms and fees in paper format. Form OFR-516-02 is hereby incorporated by reference and available on the Office’s website at www.flofr.com and by mail from the Office of Financial Regulation, 200 East Gaines Street, Tallahassee, Florida 32399-0376.

Rulemaking Authority 516.03 FS. Law Implemented 516.03 FS. History–New 9-20-09, Amended________.

NAME OF PERSON ORIGINATING PROPOSED RULE: Gregory C. Oaks, Chief, Bureau of Regulatory Review, Finance, Division of Finance, Office of Financial Regulation, 200 East Gaines Street, Tallahassee, FL 32399-0376, phone [phone], Facsimile [phone], E-mail: [e-mail]
NAME OF AGENCY HEAD WHO APPROVED THE PROPOSED RULE: Financial Services Commission
DATE PROPOSED RULE APPROVED BY AGENCY HEAD: October 12, 2010
DATE NOTICE OF PROPOSED RULE DEVELOPMENT PUBLISHED IN FAW: August 20, 2010