The Office proposes to amend these rules as part of a rule re-organization effort for registration types under Chapter 517, Florida Statutes, in order to improve organization and clarity. 69W-600.001 is proposed for amendment to only contain ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NOS.:RULE TITLES:

69W-600.001Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser

69W-600.0015Canadian Dealer Notification

69W-600.002Application for Registration as Associated Person

PURPOSE AND EFFECT: The Office proposes to amend these rules as part of a rule re-organization effort for registration types under Chapter 517, Florida Statutes, in order to improve organization and clarity. 69W-600.001 is proposed for amendment to only contain provisions relating to applications for registration for FINRA dealers. 69W-600.0015 is proposed for amendment to include all applicable provisions relating to notice-filing for Canadian dealers. 69W-600.002 is proposed for amendment to contain only provisions relating to applications for registration as an associated person of a FINRA dealer.

SUBJECT AREA TO BE ADDRESSED: Securities Regulation.

RULEMAKING AUTHORITY: 517.03(1), 517.12, 517.121, 517.1217 FS.

LAW IMPLEMENTED: 517.12, 517.121, 517.1217, 517.201 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, Division of Securities, [e-mail], [phone]

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