Disclosure Requirements of Section 517.061(11)(a)3., F.S, Unsolicited Purchase or Sale of Securities Pursuant to Section 517.061(13), F.S, Exemption/Charitable Contributions to Pooled Income Funds, Exemption for Offers and Sales of Securities of ...  





    69W-500.005Disclosure Requirements of Section 517.061(11)(a)3., F.S

    69W-500.008Unsolicited Purchase or Sale of Securities Pursuant to Section 517.061(13), F.S

    69W-500.012Exemption/Charitable Contributions to Pooled Income Funds

    69W-500.015Exemption for Offers and Sales of Securities of Foreign Issuers to Non-U.S. Persons in Offshore Transactions

    69W-500.016Exemption for Issuers of Section 4(2) Offerings

    69W-500.017Compensatory Benefit Plan Exemption


    Notice is hereby given that the following changes have been made to the proposed rule in accordance with subparagraph 120.54(3)(d)1., F.S., published in Vol. 40, No. 97, May 19, 2014 issue of the Florida Administrative Register.

    Following comment by the Joint Administrative Procedures Committee, the Purpose and Effect statement in the Notice is revised to add an additional statement regarding the purpose of the amendments, and is corrected to strike the word “all,” in light of the fact that the Office’s forms continue to be incorporated in Rule 69W-301.002 F.A.C.:

    PURPOSE AND EFFECT: The rules are proposed for amendment to update references to incorporated material. The Office of Financial Regulation proposes to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into a new proposed Rule 69W-200.002, F.A.C. that conforms with Section 120.54(1)(i), F.S. The proposed amendment references Rule 69W-200.002, F.A.C., where the material can be accessed via the FAR. The purpose and effect of placing material incorporated by reference in this chapter into proposed Rule 69W-200.002, F.A.C., is to streamline the process by which the latest version of each material can be incorporated by reference pursuant to Section 120.54(1)(i), F.S. and therefore keep such regulations current. Rule 69W-500.016, F.A.C., is also amended to update a cross-reference due to a numbering change in a federal statute.