This is the Final Public Hearing on the adoption of proposed amendments to these rules, originally published on May 19, 2014, Vol. 40, No. 97, Florida Administrative Register and revised in subsequent Notices of Change.; August 19, 2014, 9:00 a.m., ...  

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    DEPARTMENT OF FINANCIAL SERVICES

    Securities

    RULE NOS.:RULE TITLES:

    69W-600.006:Fingerprint Requirements

    69W-600.012:Rules of Conduct

    69W-600.013:Prohibited Business Practices for Dealers and Their Associated Persons

    69W-600.0131:Prohibited Business Practices for Investment Advisers and Their Associated Persons

    69W-600.0132:Custody Requirements for Investment Advisers

    69W-600.0133:Use of Senior - Specific Certifications and Professional Designations by Associated Persons and Investment Advisers

    69W-600.014:Books and Records Requirements

    69W-600.015:Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers

    69W-600.016:Net Capital Requirements for Dealers and Investment Advisers

    69W-600.017:Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities

    69W-600.020:Continuing Education Requirements

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

    DATE AND TIME: August 19, 2014, 9:00 a.m., during a regular 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 these rules, originally published on May 19, 2014, Vol. 40, No. 97, Florida Administrative Register, and revised in subsequent Notices of Change.

    A copy of the agenda may be obtained by contacting: Governor and Cabinet website: http://www.myflorida.com/myflorida/cabinet/ or Office of Financial Regulation website: http://www.flofr.com/StaticPages/NoticesOfPublicMeetingsHearingsAndWorkshops.htm. The agenda should be available approximately one week before the cabinet meeting.

    For more information, you may contact: John Kim, Office of Financial Regulation, (850)410-9781, john.kim@flofr.com.

Document Information

Hearing Meeting:
Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, Florida.
Subject:
This is the Final Public Hearing on the adoption of proposed amendments to these rules, originally published on May 19, 2014, Vol. 40, No. 97, Florida Administrative Register and revised in subsequent Notices of Change.
Meeting:
public meeting
Contact:
Governor and Cabinet website: http://www.myflorida.com/myflorida/cabinet/ or Office of Financial Regulation website: http://www.flofr.com/StaticPages/NoticesOfPublicMeetingsHearingsAndWorkshops.htm. The agenda should be available approximately one week before the cabinet meeting.
Related Rules: (11)
69W-600.006. Associated Persons' Fingerprints
69W-600.012. Rules of Conduct
69W-600.013. Prohibited Business Practices for Dealers and Their Associated Persons
69W-600.0131. Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.0132. Custody Requirements for Investment Advisers
More ...