This rule is proposed to be amended to change a cross-reference to current rule 69W-300.002 to proposed new rule 69W-600.0151, a consolidated financial reporting and net capital rule for dealers and issuer-dealers.
DEPARTMENT OF FINANCIAL SERVICES
RULE NO.:RULE TITLE:
69W-500.011Registration of Issuer Under Section 517.061(11), F.S., as Dealer
PURPOSE AND EFFECT: This rule is proposed to be amended to change a cross-reference to current Rule 69W-300.002, F.A.C., to proposed new Rule 69W-600.0151, F.A.C., a consolidated financial reporting and net capital rule for dealers and issuer-dealers.
SUBJECT AREA TO BE ADDRESSED: Securities Regulation.
RULEMAKING AUTHORITY: 517.03 FS.
LAW IMPLEMENTED: 517.061(11), 517.12(1) FS.
IF REQUESTED IN WRITING AND NOT DEEMED UNNECESSARY BY THE AGENCY HEAD, A RULE DEVELOPMENT WORKSHOP WILL BE NOTICED IN THE NEXT AVAILABLE FLORIDA ADMINISTRATIVE REGISTER.
THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE DEVELOPMENT AND A COPY OF THE PRELIMINARY DRAFT, IF AVAILABLE, IS: John Kim, (850)410-9781, john.kim@flofr.com; Meredith Stanfield, (850)410-9544, meredith.stanfield@flofr.com
THE PRELIMINARY TEXT OF THE PROPOSED RULE DEVELOPMENT IS NOT AVAILABLE.
Document Information
- Subject:
- Securities Regulation
- Purpose:
- This rule is proposed to be amended to change a cross-reference to current rule 69W-300.002 to proposed new rule 69W-600.0151, a consolidated financial reporting and net capital rule for dealers and issuer-dealers.
- Rulemaking Authority:
- 517.03 FS
- Law:
- 517.061(11), 517.12(1) FS
- Contact:
- John Kim, (850)410-9781, john.kim@flofr.com Meredith Stanfield, (850) 410-9544, meredith.stanfield@flofr.com
- Related Rules: (1)
- 69W-500.011. Registration of Issuer Under Section 517.061(11), F.S., as Dealer