This is the Final Public Hearing on the adoption of proposed amendments to Rule 69W-600.001, .002, .004, .006, .007, .008, .009, .0091, .0092, .0093, .014, F.A.C., published on August 14, 2013, Vol. 39/158, Florida Administrative Weekly.; September ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NO.:RULE TITLE:

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

69W-600.002:Application for Registration as Associated Person

69W-600.004:Registration of Issuer/Dealers, Principals and Branch Offices

69W-600.006:Fingerprint Requirements

69W-600.007:Changes in Name and Successor Registration Requirements

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

69W-600.009:Registration Renewals

69W-600.0091:Central Registration Depository System

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

69W-600.0093:Investment Adviser Registration Depository for Investment Advisers

69W-600.014:Books and Records Requirements

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

DATE AND TIME: September 24, 2013, 9:00 a.m., during a regularly scheduled 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 Rules 69W-600.001, .002, .004, .006, .007, .008, .009, .0091, .0092, .0093, .014, F.A.C., published on August 14, 2013, Vol. 39, No. 158, Florida Administrative Register.

A copy of the agenda may be obtained by contacting Governor and Cabinet website at http://www.myflorida.com/myflorida/cabinet/mart.html. The agenda should be available approximately one week before the Cabinet meeting.