The Office proposes to create new registration/notice-filing rules for entities required to be registered or notice-filed under Chapter 517, Florida Statutes. The Office identified 14 of these categories and proposes to create separate rules for ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NOS.:RULE TITLES:

69W-600.0012Application for Registration as a Dealer (non-FINRA)

69W-600.0013Application for Registration as an Issuer/Dealer

69W-600.0016Application for Registration as an Investment Adviser (State Registered)

69W-600.0017Notice-Filing for Federal Covered Advisers

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)

69W-600.0031Notice-Filing of Branch Office (FINRA Dealer)

69W-600.0032Notice-Filing of Branch Office (Non-FINRA Dealer)

69W-600.0033Notice Filing of Branch Office (Issuer/Dealer)

69W-600.0034Notice-Filing of Branch Office (Investment Adviser)

PURPOSE AND EFFECT: The Office proposes to create new registration/notice-filing rules for entities required to be registered or notice-filed under Chapter 517, Florida Statutes. The Office identified 14 of these categories and proposes to create separate rules for each (11 new, plus amendments to 3 existing rules). The purpose and effect of these changes are to improve organization and clarify and provide applicants with a single rule containing the requirements for the registration type they are applying for. 13 existing rules in Chapter 69W, F.A.C. are identified for repeal with the provisions of those rules appearing in the proposed new 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, 517.1215, 517.1217 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.