DEPARTMENT OF FINANCIAL SERVICES
RULE NO.:RULE TITLE:
69W-700.001Registration of Securities
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-700.001 Registration of Securities
(1) No change.
(2) Request for Additional Information. All information required by subsection (1) of this rule, shall be submitted with the original application filing. The required exhibits in the application forms are not intended to limit the applicant’s presentation of any of the requirements, but merely represent the minimum information to be filed. Any request for additional documents or information shall be made by the Office within thirty (30) days after receipt of the application. Additional information shall be submitted directly with the Office within sixty (60) days after a request has been made by the Office. Failure to respond to such request within sixty (60) days after the date of the request may be construed by the Office as grounds for denial of an application in accordance with the provisions of section 120.60(1), F.S.
(3) Amendment of Application. An applicant may amend the application as to those factors generally within the control or selection of the applicant once, as a matter of course, at any time within thirty (30) days from its receipt for filing. Otherwise, the application may be amended only with prior permission from the Office. Requests to make changes which are material to the application or to the Office’s evaluation of the application filed at any time after the application has been received may be deemed by the Office to be grounds for denial, and a new application, accompanied by the appropriate filing fee, may be required.
(4) Burden of Proof. It is the applicant’s responsibility to prove that the statutory and regulatory requirements warranting granting of the authority requested by the applicant are met.
(3)(5) Financial Reporting Requirements for Securities Registration.
(a) through (d) No change.
Rulemaking Authority 517.03 FS. Law Implemented 517.07, 517.081, 517.101 FS. History–(Formerly 3E-20.011) New 9-20-82, Formerly 3E-700.01, Amended 7-31-91, Formerly 3E-700.001, Amended 9-22-14, 12-29-15, .
