Rules Review by JAPC
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69. Department of Financial Services |
| 69w. DFS, SECURITIES |
| 69W-7.001. Definitions |
| 69W-7.002. Certification As A Certified Capital Company |
| 69W-7.003. Capital Requirements For Certified Capital Companies |
| 69W-7.004. Annual Review |
| 69W-7.005. Requirement To Update Information |
| 69W-7.006. Renewal Of Certification |
| 69W-7.007. Books And Records Requirements |
| 69W-7.008. Forms, Instructions And Manuals |
| 69W-100.007. Advertising And Sales Literature |
| 69W-200.001. Definitions |
| 69W-200.002. General Industry Standards Incorporated By Reference |
| 69W-300.002. Financial Statements And Reports |
| 69W-300.003. Refunds Of Fees, Files Denied Or Withdrawn |
| 69W-301.001. Scope |
| 69W-301.002. Processing Of Applications And Notice-Filings |
| 69W-301.003. Right To Hearing |
| 69W-301.004. Final Orders |
| 69W-301.005. Waivers |
| 69W-400.001. S |
| 69W-400.002. , As Issuer/Dealer |
| 69W-400.003. S |
| 69W-500.004. Computation Of Number Of Purchasers For Purposes Of Section |
| 69W-500.005. S |
| 69W-500.007. General Solicitation Or General Advertising In Connection With An Offering Exempted Under Section |
| 69W-500.008. S |
| 69W-500.011. , As Dealer |
| 69W-500.012. Exemption/Charitable Contributions To Pooled Income Funds |
| 69W-500.013. Exemption/Mobile Home Parks/Limited Purpose Stock Offering |
| 69W-500.015. Persons In Offshore Transactions |
| 69W-500.016. Exemption For Issuers Of Section 4(A)(2) Offerings |
| 69W-500.017. Compensatory Benefit Plan Exemption |
| 69W-500.018. Exemption For The Offer Or Sale Of A Single-Share Stock Certificate As A Gift |
| 69W-600.001. Application For Registration As A Dealer (Finra) |
| 69W-600.002. Application For Registration As Associated Person (Finra Dealer) |
| 69W-600.003. Multiple Registration |
| 69W-600.004. Registration Of Issuer/Dealers And Principals And Notice-Filing Of Branch Offices |
| 69W-600.005. Examinations/Qualifications |
| 69W-600.006. Fingerprint Requirements |
| 69W-600.007. Changes In Name And Successor Registration Requirements |
| 69W-600.008. Termination Of Registration As Dealer, Investment Adviser, Principal Or Agent, Or Notification Of Branch Office |
| 69W-600.009. Registration And Notice-Filing Renewals |
| 69W-600.010. Notice Of Civil, Criminal Or Administrative Action |
| 69W-600.0011. Effect Of Law Enforcement Records On Applications For Registration As Dealer, Issuer/Dealer, Or Investment Adviser |
| 69W-600.0012. Application For Registration As A Dealer (Non-Finra) |
| 69W-600.012. Rules Of Conduct |
| 69W-600.013. Prohibited Business Practices For Dealers And Their Associated Persons |
| 69W-600.0013. Application For Registration As An Issuer/Dealer |
| 69W-600.014. Books And Records Requirements |
| 69W-600.015. Financial Reporting Requirements - Statement Of Financial Condition - Dealers And Investment Advisers |
| 69W-600.0015. Canadian Dealer Notice-Filing |
| 69W-600.0016. Application For Registration As An Investment Adviser (State Registered) |
| 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-600.0017. Notice-Filing For Federal Covered Advisers |
| 69W-600.0018. Notice-Filing And Requirements For Florida Intrastate Crowdfunding Issuers |
| 69W-600.0019. Registration Of Florida Intrastate Crowdfunding Intermediaries |
| 69W-600.020. Continuing Education Requirements |
| 69W-600.0021. Effect Of Law Enforcement Records On Applications For Registration As Associated Persons |
| 69W-600.0022. Application For Registration As An Associated Person (Non-Finra Dealer) |
| 69W-600.0023. Application For Registration As An Associated Person (Issuer/Dealer) |
| 69W-600.0024. Application For Registration As An Associated Person (Investment Adviser And Federal Covered Advisor) |
| 69W-600.0031. Notice-Filing Of Branch Office (Finra Dealer) |
| 69W-600.0032. Notice-Filing Of Branch Office (Non-Finra Dealer) |
| 69W-600.0033. Notice-Filing Of Branch Office (Issuer/Dealer) |
| 69W-600.0034. Notice-Filing Of Branch Office (Investment Adviser) |
| 69W-600.0091. Central Registration Depository System |
| 69W-600.0092. Investment Adviser Registration Depository For Federal Covered Advisers |
| 69W-600.0093. Investment Adviser Registration Depository For Investment Advisers |
| 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-600.0145. Requirements For Florida Intrastate Crowdfunding Intermediaries |
| 69W-600.0151. Net Capital And Financial Reporting Requirements For Dealers And Issuer/Dealers |
| 69W-600.0161. Net Capital And Financial Reporting Requirements For Investment Advisers |
| 69W-700.001. Registration Of Securities |
| 69W-700.002. Filing Of Prospectus |
| 69W-700.005. Promoters Equity Investment Ratio |
| 69W-700.006. Voting Rights |
| 69W-700.007. Options Or Warrants Granted Underwriters |
| 69W-700.008. Options And Warrants To Officers, Employees And Others |
| 69W-700.010. Preferred Stock Or Debt Securities |
| 69W-700.014. Real Estate Investment Trusts (Reit) |
| 69W-700.015. Offering Price Of Equity Securities |
| 69W-700.018. Signing Required - Consents And Consents Of Experts |
| 69W-700.019. Submission Of Sales Reports |
| 69W-700.024. Submission Of Final Documents |
| 69W-700.026. Unsound Financial Condition |
| 69W-700.028. Small Corporate Offering Registration ("Scor" Offering) |
| 69W-800.001. Filing - Notification Registration Including Shelf Filings |
| 69W-800.003. Effective Registration |
| 69W-800.004. Circulation Of Preliminary Prospectus |
| 69W-900.001. Disclosure Of Business Activities In Cuba |
| 69W-1000.001. Disciplinary Guidelines |