Filing - Notification Registration Including Shelf Filings

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NO.:RULE TITLE:

69W-800.001Filing - Notification Registration Including Shelf Filings

NOTICE OF CHANGE

Notice is hereby given that the following changes have been made to the proposed rule in accordance with subparagraph 120.54(3)(d)1., F.S., published in Vol. 45 No. 157, August 13, 2019 issue of the Florida Administrative Register.

69W-800.001 Filing – Notification Registration Including Shelf Filings.

(1) An application for Notification Registration or a shelf filing not in conflict with the provisions of section 517.082(3), F.S., shall ­be filed file on the Uniform Application to Register Securities (Form U-1) electronically on the Office of Financial Regulation (Office) website at https://real.flofr.com through the Regulatory Enforcement and Licensing (REAL) System. The application shall include all information required by such form and payment of the statutory fees, as required by section 517.082, F.S. Exhibits which are required may not be incorporated by reference to previous filings. The application shall include:

(a) through (b) No change.

(c) Form U-2, Uniform Consent to Service of Process (06/16)(09/16), which is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX;

(d) through (e) No change.

(2) No change.

(3) It shall not be the policy of the Office of Financial Regulation to issue status reports of an application filed unless the Office of Financial Regulation deems it necessary to issue such information.

(3)(4) A copy of the SEC “Notice of Effectiveness” shall be filed within ten (10) business days from the date federal registration is granted if such registration was pending with the SEC at the time the notification application was filed.

(4)(5) Should all documents required under this rule not be furnished to the Office of Financial Regulation within 60 days of the date of the effective federal registration, the Office of Financial Regulation shall deem the registration to be subject to revocation.

(5)(6) Any application found to contain a material false statement shall be subject to administrative action by the Office of Financial Regulation.

 

Rulemaking Authority 517.03(1) FS. Law Implemented 517.082 FS. History–New 10-15-86, Amended 12-8-87, 7-31-91, 10-1-96, 10-20-97, Formerly 3E-800.001, Amended 11-22-10, 10-29-12, 9-22-14,              .