Summary


Chapter 2013-201, Laws of Florida, changes requirements for applicant fingerprinting from the current paper card-based system to an electronic live-scan system, and Chapter 2013-202, Laws of Florida, changes requirements for certain branch offices conducting securities transactions to notice-file with the Office of Financial Regulation (Office) rather than apply for registration. 69W-600.001 and 600.002 are proposed for amendment to update fingerprinting requirements to conform with Ch. 2013-201, Laws of Florida, and update abbreviations and acronyms in the rule. 69W-600.004 is proposed for amendment to 1) update with branch office notice filing changes to conform with Ch. 2013-202, Laws of Florida, 2) clarify that a dealer or investment adviser must be registered with the Office of Financial Regulation before its branch offices may notice file, 3) clarify that a branch office's principal must have the required qualifications to supervise such an office, 4) rename "resident agent" to "resident person-in-charge," and 5) update abbreviations and acronyms in the rule. 69W-600.006 is proposed for amendment to 1) update fingerprinting requirements to conform with Ch. 2013-201, Laws of Florida, 2) waive the requirement to submit fingerprints to the Office for owners and principals of dealers or investment advisers whose fingerprints have been processed by the Financial Industry Regulatory Authority (FINRA), and 3) update abbreviations and acronyms in the rule. 69W-600.007, 600.008, 600.009, and 600.0091 are proposed for amendment to update with branch office notice filing changes and update abbreviations and acronyms in the rule. 69W-600.0092 is proposed for amendment to update abbreviations and acronyms in the rule. 69W-600.0093 is proposed for amendment to 1) update with branch office notice filing changes to conform with Ch. 2013-202, 2) clarify that an investment adviser must be registered with the Office of Financial Regulation before its branch offices may notice file, and 3) update abbreviations and acronyms in the rule. 69W-600.014 is proposed for amendment to update with branch office notice filing changes to conform with Ch. 2013-202, Laws of Florida.