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 Rules Review by JAPC
 69. Department of Financial Services
 69W. DFS, SECURITIES
 69w-600.0011. Effect Of Law Enforcement Records On Applications For Registration As Dealer, Issuer/Dealer, Or Investment Adviser

69w-600.0011. Effect Of Law Enforcement Records On Applications For Registration As Dealer, Issuer/Dealer, Or Investment Adviser


Date
Event
Notification
Status
Reviewed
Date 12/24/2009
Event Notice of Rule Development
Notification
Status
Reviewed
Date 06/04/2010
Event Notice of Proposed Rulemaking
Notification
Status
Reviewed
Date 07/29/2010
Event Agency Hearing Scheduled
Notification
Status
Reviewed
Date 08/04/2010
Event Notice of No Change Rcvd by JAPC (PDF)
Notification
Status
Reviewed
Date 08/13/2010
Event Certified with Dept of State (PDF)
Notification
Status
Reviewed
Date 08/13/2010
Event Filed for Adoption with Dept of State
Notification
Status
Reviewed
Date 09/02/2010
Event 90-Day Filing Deadline
Notification
Status
Reviewed
Date 09/02/2010
Event Effective Date
Notification
Status
Reviewed
Date 09/13/2010
Event 90-Day Filing Exception Deadline
Notification
Status
Reviewed