The purpose and effect is to amend the existing rule to allow an applicant for notification registration or shelf filing notice not in conflict with the provisions of section 517.082(3), Florida Statutes, to elect to file ....

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NO.:RULE TITLE:

69W-800.001Filing - Notification Registration Including Shelf Filings

PURPOSE AND EFFECT: The purpose and effect is to amend the existing rule to allow an applicant for notification registration or shelf filing notice not in conflict with the provisions of section 517.082(3), Florida Statutes, to elect to file the required application and statutory fees through the North American Securities Administrators Association Electronic Filing Depository (EFD) and to specify when an application filed through either the EFD or Regulatory Enforcement and Licensing (REAL) system is deemed received.

SUBJECT AREA TO BE ADDRESSED: Securities Regulation

RULEMAKING AUTHORITY: 517.03(1), FS.

LAW IMPLEMENTED: 517.082, 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: Ryann White, Office of General Counsel, [phone], [e-mail]

THE PRELIMINARY TEXT OF THE PROPOSED RULE DEVELOPMENT IS NOT AVAILABLE.