The proposed rule amendment updates a definition to reflect statutory changes in the requirements of certain branch offices conducting securities transactions to notice file with the Office of Financial Regulation rather than apply for registration, ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NO.:RULE TITLE:

69W-200.001Definitions

PURPOSE AND EFFECT: The proposed rule amendment updates a definition to reflect statutory changes in the requirements of certain branch offices conducting securities transactions to notice file with the Office of Financial Regulation rather than apply for registration, as a result of Ch. 2013-202, Laws of Florida. The proposed amendment replaces a reference in subparagraph (9)(a)9. from "registered" to "notice-filed."

SUBJECT AREA TO BE ADDRESSED: Securities Regulation – Definitions.

RULEMAKING AUTHORITY: 517.03(1) FS.

LAW IMPLEMENTED: 517.07, 517.12, 517.021, 517.061, 517.051, 517.081, 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, [phone], [e-mail]

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