Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, 600.015, and 600.016; and proposed creation of new rules 69W-600.0151 and 600.0161. The proposed rules ...  

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    DEPARTMENT OF FINANCIAL SERVICES

    Securities

    RULE NO.:RULE TITLE:

    69W-400.002Registration of Issuer Under Section 517.051(9), F.S., as Dealer

    The Office of Financial Regulation announces a workshop to which all persons are invited.

    DATE AND TIME: December 18, 2014, 1:30 p.m.

    PLACE: Room B103, Office of Financial Regulation, 200 East Gaines Street, Fletcher Building, Tallahassee, FL 32399

    GENERAL SUBJECT MATTER TO BE CONSIDERED: Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of Rules 69W-300.002, 600.015, and 600.016; and proposed creation of new Rules 69W-600.0151 and 600.0161. The proposed rules relate generally to updated financial reporting, custody, recordkeeping, and compliance procedures and practices requirements for Florida state-registered investment advisers.

    A copy of the agenda may be obtained by contacting: Meredith Stanfield, Legislative and Cabinet Affairs, Meredith.Stanfield@flofr.com.

    For more information, you may contact: Meredith Stanfield, Legislative and Cabinet Affairs, Meredith.Stanfield@flofr.com or John Kim, Division of Securities, john.kim@flofr.com.

Document Information

Hearing Meeting:
Room B103, Office of Financial Regulation, 200 East Gaines Street, Fletcher Building, Tallahassee, FL 32399.
Subject:
Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, 600.015, and 600.016; and proposed creation of new rules 69W-600.0151 and 600.0161. The proposed rules relate generally to updated financial reporting, custody, recordkeeping, and compliance procedures and practices requirements for Florida state-registered investment advisers.
Meeting:
workshop
Contact:
Meredith Stanfield, Legislative and Cabinet Affairs, Meredith.Stanfield@flofr.com
Related Rules: (1)
69W-400.002. Registration of Issuer Under Section 517.051(9), F.S., as Dealer