The purpose and effect is to amend existing rules to adopt a form relating to military fee waiver procedures for military personnel, veterans, and spouses seeking registration or renewal of registration as any of the following: a principal or ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NOS.:RULE TITLES:

69W-600.002Application for Registration as Associated Person (FINRA Dealer)

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 and Federal Covered Advisor)

PURPOSE AND EFFECT: The purpose and effect is to amend existing rules to adopt a form relating to military fee waiver procedures for military personnel, veterans, and spouses seeking registration or renewal of registration as any of the following: a principal or associated person of dealers who are members of the Financial Industry Regulatory Authority (FINRA), a principal or associated person of dealers who are not members of the Financial Industry Regulatory Authority (FINRA), a principal or associated person of an issuer/dealer; or an associated person of investment advisers and federal covered advisers.

SUBJECT AREA TO BE ADDRESSED: Securities.

RULEMAKING AUTHORITY: 517.03(1), 517.12(10)(b), 517.12(11)(b) FS.

LAW IMPLEMENTED: 517.03, 517.12 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, [phone], [e-mail]

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