The purpose and effect is to amend the existing rule to allow an applicant for registration of securities to elect to file the required application and filing fee through the North American Securities Administrators Association ....
DEPARTMENT OF FINANCIAL SERVICES
RULE NO.:RULE TITLE:
69W-700.001Registration of Securities
PURPOSE AND EFFECT: The purpose and effect is to amend the existing rule to allow an applicant for registration of securities to elect to file the required application and filing fee through the North American Securities Administrators Association Electronic Filing Depository (EFD) and to specify when an application filed through either the EFD or Regulatory Enforcement and Licensing (REAL) system is deemed received.
SUBJECT AREA TO BE ADDRESSED: Securities Regulation
RULEMAKING AUTHORITY: 517.03(1), FS.
LAW IMPLEMENTED: 517.07, 517.081, 517.101, 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: Ryann White, Office of General Counsel, (850)410-9803, Ryann.White@flofr.gov
THE PRELIMINARY TEXT OF THE PROPOSED RULE DEVELOPMENT IS NOT AVAILABLE.
Document Information
- Purpose:
- The purpose and effect is to amend the existing rule to allow an applicant for registration of securities to elect to file the required application and filing fee through the North American Securities Administrators Association Electronic Filing Depository (EFD) and to specify when an application filed through either the EFD or Regulatory Enforcement and Licensing (REAL) system is deemed received.
- Rulemaking Authority:
- 517.03(1), FS.
- Law:
- 517.07, 517.081, 517.101, FS.
- Related Rules: (1)
- 69W-700.001. Registration of Securities