The Office proposes to repeal these rules and replace them with new registration rules under Chapter 517, Florida Statutes, to be separated by registration type. The purpose and effect of these changes are to improve organization and clarity and ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NOS.:RULE TITLES:

69W-600.003Multiple Registration

69W-600.004Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices

69W-600.005Examinations/Qualifications

69W-600.006Fingerprint Requirements

69W-600.007Changes in Name and Successor Registration Requirements

69W-600.008Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office

69W-600.009Registration and Notice-Filing Renewals

69W-600.0091Central Registration Depository System

69W-600.0092Investment Adviser Registration Depository for Federal Covered Advisers

69W-600.0093Investment Adviser Registration Depository for Investment Advisers

69W-600.010Notice of Civil, Criminal or Administrative Action

PURPOSE AND EFFECT: The Office proposes to repeal these rules and replace them with new registration rules under Chapter 517, Florida Statutes, to be separated by registration type. The purpose and effect of these changes are to improve organization and clarity and provide applicants with a single rule containing the requirements for the registration type they are applying for. The proposed 14 registration/notice-filing rules (11 new, 3 amended) will contain provisions of these rules as applicable to each registration type.

SUBJECT AREA TO BE ADDRESSED: Securities Regulation.

RULEMAKING AUTHORITY: 517.03(1), 517.12, 517.1201, 517.1202 FS.

LAW IMPLEMENTED: 517.12, 517.1201, 517.1202, 517.1205, 517.121, 517.161 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.