Application for Registration as Associated Person (FINRA Dealer), Application for Registration as an Associated Person (Non-FINRA Dealer), Application for Registration as an Associated Person (Issuer/Dealer), Application for Registration as an ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NOS.:RULE TITLES:

69W-600.002Application for Registration as Associated Person (FINRA Dealer)

69W-600.0022Application for Registration as an Associated Person (Non-FINRA Dealer)

69W-600.0023Application for Registration as an Associated Person (Issuer/Dealer)

69W-600.0024Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)

NOTICE OF CORRECTION

Notice is hereby given that the following correction has been made to the proposed rule in Vol. 44 No. 119, June 19, 2018 issue of the Florida Administrative Register.

Rule 1-1.013(2)(a), F.A.C., requires an incorporated form to be identified by both a form number and title.

 

69W-600.002(1)(b)3. & 8(c), should read:

(1)(b)3. Persons requesting a fee waiver as set forth in s. 517.12(10), F.S., shall submit Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001. A sample form is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXXX. Form OFR-MIL-001 shall be submitted within one hundred eighty (180) days after receipt of the application.

 

(8)(c) Persons requesting a fee waiver as set forth in s. 517.12(11) F.S., shall submit Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001. A sample form is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXXX. Form OFR-MIL-001 shall be submitted within one hundred eighty (180) days after receipt of the renewal fees.

 

69W-600.0022(1)(b)3. & (8)(c), should read:

(1)(b)3. Persons requesting a fee waiver as set forth in s. 517.12(10), F.S., shall submit Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001. A sample form is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXXX. Form OFR-MIL-001 shall be submitted within one hundred eighty (180) days after receipt of the application.

 

(8)(c) Persons requesting a fee waiver as set forth in s. 517.12(11) F.S., shall submit Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001. A sample form is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXXX. Form OFR-MIL-001 shall be submitted within one hundred eighty (180) days after receipt of the renewal fees.

 

69W-600.0023(1)(b)3. & (8)(c), should read:

(1)(b)3. Persons requesting a fee waiver as set forth in s. 517.12(10), F.S., shall submit Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001. A sample form is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXXX. Form OFR-MIL-001 shall be submitted within one hundred eighty (180) days after receipt of the application.

 

(8)(c) Persons requesting a fee waiver as set forth in s. 517.12(11) F.S., shall submit Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001. A sample form is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXXX. Form OFR-MIL-001 shall be submitted within one hundred eighty (180) days after receipt of the renewal fees.

 

69W-600.0024(1)(b)3. & (8)(c), should read:

(1)(b)3. Persons requesting a fee waiver as set forth in s. 517.12(10), F.S., shall submit Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001. A sample form is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXXX. Form OFR-MIL-001 shall be submitted within one hundred eighty (180) days after receipt of the application.

 

(8)(c) Persons requesting a fee waiver as set forth in s. 517.12(11) F.S., shall submit Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001. A sample form is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXXX. Form OFR-MIL-001 shall be submitted within one hundred eighty (180) days after receipt of the renewal fees.