Summary


The proposed rule amendments: 1) reflect the latest versions of applicable forms incorporated by reference in the rule; 2) clarify and consolidate the procedures for filing documents and fees with the Office, and 3) implement electronic filing requirements for Canadian dealers, dealers that are not members of the FINRA (including their branch offices and associated persons), issuer/dealers (including their associated persons and branch offices), securities registrations filings submitted under Section 517.081, F.S., and securities notification filings under Section 517.082, F.S.