This is the Final Public Hearing on the adoption of proposed amendments to these rules, originally published on May 19, 2014, Vol. 40, No. 97, Florida Administrative Register and revised in subsequent Notices of Change.; August 19, 2014, 9:00 a.m., ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NOS.:RULE TITLES:

69W-600.006:Fingerprint Requirements

69W-600.012:Rules of Conduct

69W-600.013:Prohibited Business Practices for Dealers and Their Associated Persons

69W-600.0131:Prohibited Business Practices for Investment Advisers and Their Associated Persons

69W-600.0132:Custody Requirements for Investment Advisers

69W-600.0133:Use of Senior - Specific Certifications and Professional Designations by Associated Persons and Investment Advisers

69W-600.014:Books and Records Requirements

69W-600.015:Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers

69W-600.016:Net Capital Requirements for Dealers and Investment Advisers

69W-600.017:Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities

69W-600.020:Continuing Education Requirements

The Financial Services Commission, Office of Financial Regulation announces a public meeting to which all persons are invited.

DATE AND TIME: August 19, 2014, 9:00 a.m., during a regular meeting of the Financial Services Commission

PLACE: Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, Florida

GENERAL SUBJECT MATTER TO BE CONSIDERED: This is the Final Public Hearing on the adoption of proposed amendments to these rules, originally published on May 19, 2014, Vol. 40, No. 97, Florida Administrative Register, and revised in subsequent Notices of Change.

A copy of the agenda may be obtained by contacting: Governor and Cabinet website: http://www.myflorida.com/myflorida/cabinet/ or Office of Financial Regulation website: http://www.flofr.com/StaticPages/NoticesOfPublicMeetingsHearingsAndWorkshops.htm. The agenda should be available approximately one week before the cabinet meeting.

For more information, you may contact: John Kim, Office of Financial Regulation, [phone], [e-mail].