Rules Review by JAPC
 |
3. Department of Banking and Finance |
| 3e. DBF, DIVISION OF SECURITIES AND FINANCE (TFD TO CH 69W) |
| 3E-1.01. |
| 3E-1.02. |
| 3E-1.03. |
| 3E-1.04. |
| 3E-1.05. |
| 3E-1.06. |
| 3E-1.07. |
| 3E-1.08. |
| 3E-1.09. |
| 3E-2.01. |
| 3E-2.02. |
| 3E-3.01. |
| 3E-3.02. |
| 3E-3.03. |
| 3E-4.01. |
| 3E-4.02. |
| 3E-5.01. |
| 3E-5.02. |
| 3E-5.03. |
| 3E-5.04. |
| 3E-5.05. |
| 3E-5.06. |
| 3E-5.07. |
| 3E-5.08. |
| 3E-5.09. |
| 3E-6.01. |
| 3E-6.02. |
| 3E-6.03. |
| 3E-6.04. |
| 3E-6.05. |
| 3E-6.06. |
| 3E-6.07. |
| 3E-6.08. |
| 3E-6.09. |
| 3E-6.10. |
| 3E-6.11. |
| 3E-6.12. |
| 3E-6.13. |
| 3E-6.14. |
| 3E-6.15. |
| 3E-6.16. |
| 3E-6.17. |
| 3E-6.18. |
| 3E-6.19. |
| 3E-6.20. |
| 3E-6.21. |
| 3E-6.031. Securities |
| 3E-7.001. Definitions |
| 3E-7.002. Certification As A Certified Capital Company |
| 3E-7.003. Capital Requirements For Certified Capital Companies |
| 3E-7.004. Annual Review |
| 3E-7.005. Requirements To Update Information |
| 3E-7.006. Renewal Of Certification |
| 3E-7.007. Books And Records Requirements |
| 3E-7.008. Forms, Instructions And Manuals |
| 3E-10.01. |
| 3E-10.02. |
| 3E-10.03. |
| 3E-10.04. Definitions |
| 3E-10.05. |
| 3E-10.06. |
| 3E-10.07. |
| 3E-10.08. Of Banking And Finance |
| 3E-20.01. Filing Of Prospectus |
| 3E-20.02. Content Of Prospectus |
| 3E-20.03. Circulation Of Preliminary Prospectus |
| 3E-20.04. Promoters Equity Investment Ratio |
| 3E-20.05. Voting Rights |
| 3E-20.06. Options Or Warrants Granted Underwriters |
| 3E-20.07. Options And Warrants To Officers, Employees And Others |
| 3E-20.08. Escrow Of Proceeds From Sale Of Securities |
| 3E-20.09. Preferred Stock Or Debt Securities |
| 3E-20.10. Fractional Undivided Interest In Oil Or Gas Titles |
| 3E-20.11. Oil And Gas Participation Plans |
| 3E-20.011. Registration Of Securities |
| 3E-20.12. Insurance Company Licenses |
| 3E-20.13. (Reit) |
| 3E-20.14. Submission Of Group Insurance Plans |
| 3E-20.15. Administrative Interpretation Of Just And Equitable |
| 3E-20.16. Signing Required - Consents And Consents Of Experts |
| 3E-20.17. Investment Companies |
| 3E-20.18. Submission Of Sales Reports |
| 3E-20.19. Termination Date Of Registration Prospectuses Not To Be Used After Certain Date |
| 3E-20.20. Independent Transfer Agent And/Or Registrar |
| 3E-20.21. Recognized Manuals Of Securities |
| 3E-20.22. Subscriptions To New Banks, Trust Companies, And Stock Savings And Loan Associations |
| 3E-20.23. Securities Registration/Notification Forms |
| 3E-30.01. |
| 3E-30.02. Of Banking And Finance |
| 3E-30.03. Of Banking And Finance |
| 3E-30.04. Financial Responsibility |
| 3E-30.05. Registration Of Issuer/Dealer, Executive Officer Or Branch Office |
| 3E-30.06. Executive Officers - Written Examinations |
| 3E-30.07. |
| 3E-30.08. Executive Officers - Written Examinations - Dual Registration |
| 3E-30.09. Executive Officers - Permits And Certificates To Be Displayed - Dual Registration |
| 3E-30.10. Executive Officers - Prima Facie Evidence Of Unworthiness |
| 3E-30.11. |
| 3E-30.12. |
| 3E-30.13. Executive Officers - Notice Of Civil, Criminal Or Administrative Action |
| 3E-30.14. |
| 3E-30.15. |
| 3E-30.16. |
| 3E-30.17. Suitability Of Recommendations |
| 3E-40.01. Changing Or Influencing Control Of Offeree Company |
| 3E-100.01. |
| 3E-100.001. Authority |
| 3E-100.002. Severability |
| 3E-100.02. |
| 3E-100.03. |
| 3E-100.003. Declaratory Statements |
| 3E-100.004. Opinions |
| 3E-100.04. Opinions |
| 3E-100.05. Advise Concerning Exemptions |
| 3E-100.06. |
| 3E-100.07. Advertising And Sales Literature |
| 3E-100.08. |
| 3E-100.008. Offer Of Securities Prior To Registration |
| 3E-100.009. Index To Forms Prescribed By The Department |
| 3E-100.09. Index To Forms Prescribed By The Department |
| 3E-100.010. Internet Or Other Electronic System Information |
| 3E-200.001. Definitions |
| 3E-200.01. Definitions |
| 3E-200.02. S |
| 3E-200.03. S |
| 3E-300.01. Processing Of Applications |
| 3E-300.02. Financial Statements And Reports |
| 3E-300.002. Financial Statements And Reports |
| 3E-300.003. Refunds Of Fees, Files Denied Or Withdrawn |
| 3E-300.03. |
| 3E-301.01. Scope |
| 3E-301.02. Processing Of Applications |
| 3E-301.002. Processing Of Applications |
| 3E-301.003. Right To Hearing |
| 3E-301.03. Right To Hearing |
| 3E-301.04. Final Orders |
| 3E-301.004. Final Orders |
| 3E-301.05. Waivers |
| 3E-400.001. 051(9), Florida Statutes |
| 3E-400.01. S |
| 3E-400.02. S |
| 3E-400.003. 051(1), Florida Statutes |
| 3E-400.004. 051(11), Florida Statutes |
| 3E-500.01. Offers And Sales |
| 3E-500.001. 061, Florida Statutes; Offers And Sales |
| 3E-500.02. S |
| 3E-500.03. S |
| 3E-500.04. S |
| 3E-500.004. 061(11), Florida Statutes |
| 3E-500.005. 061(11)(A)3, Florida Statutues |
| 3E-500.05. S |
| 3E-500.06. S |
| 3E-500.006. 061(11), Florida Statutues |
| 3E-500.007. 061(11), Florida Statutues |
| 3E-500.07. S |
| 3E-500.08. S |
| 3E-500.008. 061(13), Florida Statutes |
| 3E-500.009. 061(19), Florida Statutues |
| 3E-500.09. S |
| 3E-500.10. Recognized Manuals Of Securities |
| 3E-500.010. Recognized Manuals Of Securities |
| 3E-500.011. 061(11), Florida Statutes, As Dealer |
| 3E-500.11. , As Dealer |
| 3E-500.12. Exemption/ Charitable Contributions To Pooled Income Funds |
| 3E-500.013. Exemption/Mobile Home Parks/Limited Purpose Stock Offering |
| 3E-500.014. Court Approved Transactions |
| 3E-500.015. Persons In Offshore Transactions |
| 3E-500.016. Exemption For Issuers Of Section 4(2) Offerings |
| 3E-500.017. Compensatory Benefit Plan Exemption |
| 3E-600.001. Application For Registration As A Dealer, Issuer/Dealer, Or Investment Adviser |
| 3E-600.01. Application For Registration As Dealer, Issuer/Dealer Or Investment Advisor |
| 3E-600.02. Application For Registration As Dealer Issuer/Dealer, Or Investment Advisor |
| 3E-600.002. Application For Registration As Associated Person |
| 3E-600.003. Multiple Registration |
| 3E-600.03. Multiple Registration |
| 3E-600.04. Registration Of Issuer/Dealers Principles And Branch Offices |
| 3E-600.004. Registration Of Issuer/Dealers, Principals And Branch Offices |
| 3E-600.005. Examinations/Qualifications |
| 3E-600.05. Examinations/Qualifications |
| 3E-600.06. Associated Persons' Fingerprints |
| 3E-600.006. Associated Persons' Fingerprints |
| 3E-600.007. Changes In Name And Successor Registration Requirements |
| 3E-600.07. Changes In Names And Successor Registration |
| 3E-600.08. Termination Of Registration As Dealer, Investment Advisor, Branch Office Or Agent |
| 3E-600.008. Termination Of Registration As Dealer, Investment Adviser, Branch Office, Principal Or Agent |
| 3E-600.009. Registration Renewals |
| 3E-600.09. Registration Renewals |
| 3E-600.10. Notice Of Civil, Criminal Or Administrative Action |
| 3E-600.010. Notice Of Civil, Criminal Or Administrative Action |
| 3E-600.011. Prima Facie Evidence Of Unworthiness |
| 3E-600.11. |
| 3E-600.12. Rules Of Conduct |
| 3E-600.012. Rules Of Conduct |
| 3E-600.013. Prohibited Business Practices For Dealers And Their Associated Persons |
| 3E-600.13. Prohibited Business Practices |
| 3E-600.14. Books & Records Requirements |
| 3E-600.014. Books And Records Requirements |
| 3E-600.015. Financial Reporting Requirements - Statement Of Financial Condition - Dealers And Investment Advisers |
| 3E-600.15. Financial Reporting Requirements--Statement Of Financial Condition --Dealers And Investment Advisors |
| 3E-600.16. Net Capital Requirements For Dealers & Investment Advisors |
| 3E-600.016. Net Capital Requirements For Dealers And Investment Advisers |
| 3E-600.017. Customer Protection Rule - Reserve Requirements And Custody Of Customer Funds And Securities |
| 3E-600.17. |
| 3E-600.18. |
| 3E-600.018. Licenses To Be Displayed |
| 3E-600.019. Dealer, Investment Adviser, Branch Office And Associated Persons Forms |
| 3E-600.19. Dealer, Investment Advisor, Branch Office & Associated Persons -- Forms |
| 3E-600.020. Continuing Education Requirements |
| 3E-600.021. Investment Adviser Notification |
| 3E-600.0021. Investment Adviser Notification |
| 3E-600.0031. Multiple Registration Disclosure |
| 3E-600.091. Central Registration Depository System |
| 3E-600.0091. Central Registration Depository System |
| 3E-600.0092. Investment Adviser Registration Depository For Federal Covered Advisers |
| 3E-600.0093. Investment Adviser Registration Depository For Investment Advisers |
| 3E-600.0131. Prohibited Business Practices For Investment Advisers And Their Associated Persons |
| 3E-600.0132. Sales Of Certificates Of Deposit |
| 3E-700.01. Registration Of Securities |
| 3E-700.001. Registration Of Securities |
| 3E-700.002. Filing Of Prospectus |
| 3E-700.02. Filing Of Prospectus |
| 3E-700.03. Content Of Prospectus |
| 3E-700.04. Circulation Of Preliminary Prospectus |
| 3E-700.004. Circulation Of Preliminary Prospectuses |
| 3E-700.005. Promoters Equity Investment Ratio |
| 3E-700.05. Promoters Equity Investment Ratio |
| 3E-700.06. Voting Rights |
| 3E-700.006. Voting Rights |
| 3E-700.07. Options Or Warrants Granted Underwriters |
| 3E-700.08. Options Or Warrants To Officers, Employees And Others |
| 3E-700.09. Escrow Of Proceeds From Sale Of Securities |
| 3E-700.10. Preferred Stock Or Debt Securities |
| 3E-700.11. Fractional Undivided Interest In Oil And Gas Titles |
| 3E-700.011. Fractional Undivided Interest In Oil And Gas Titles |
| 3E-700.12. Oil And Gas Participation Plans |
| 3E-700.13. Insurance Company Licenses |
| 3E-700.14. Real Estate Investment Trusts (Reit) |
| 3E-700.15. Offering Priceof Equity Securities |
| 3E-700.015. Offering Price Of Equity Securities |
| 3E-700.016. Bank Holding Company Applications |
| 3E-700.16. Bank Holding Company Applications |
| 3E-700.17. Savings & Loan Conversions |
| 3E-700.017. Savings And Loan Conversions |
| 3E-700.18. Signing Required - Consents And Consents Of Experts |
| 3E-700.19. Submission Of Sales Reports |
| 3E-700.019. Submission Of Sales Reports |
| 3E-700.20. Termination Date Of Registration |
| 3E-700.21. Independent Transfer Agent And/Or Registrar |
| 3E-700.22. Amendment Of Application |
| 3E-700.23. Securities Registration Forms |
| 3E-700.023. Securities Registration Forms |
| 3E-700.24. Submission Of Final Documents |
| 3E-700.025. Investment Company Securities |
| 3E-700.026. Unsound Financial Condition |
| 3E-700.027. Loans And Other Affiliated Transactions |
| 3E-700.028. Small Corporate Offering Registration ($1 Million Maximum Offering) |
| 3E-800.001. Filing - Notification Registration Including Shelf Filings |
| 3E-800.002. Shelf Registration |
| 3E-800.003. Effective Registration |
| 3E-800.004. Circulation Of Preliminary Prospectus |
| 3E-800.005. 082 |
| 3E-900.001. Disclosure Of Business Activities In Cuba |