Recent Updates

Total 565
65E-5.353. Criteria and Procedures for Conditional, Suspension or Withdrawal of Designation of Receiving Facilities
Amendment    |   Updated: 03/21/2024
69W-1000.001. Disciplinary Guidelines
Amendment    |   Updated: 03/21/2024
69W-200.001. Definitions
Amendment    |   Updated: 03/21/2024
69W-200.002. General Industry Standards Incorporated by Reference
Amendment    |   Updated: 03/21/2024
69W-400.001. Rules for Eleemosynary and Religious Organizations Under the Requirements of Section 517.051(9), F.S
Amendment    |   Updated: 03/21/2024
69W-500.006. Commissions and Compensation Payable in Connection with an Offering Exempted Pursuant to Section 517.061(11), F.S
Amendment    |   Updated: 03/21/2024
69W-500.011. Registration of Issuer Under Section 517.061(11), F.S., as Dealer
Amendment    |   Updated: 03/21/2024
69W-600.001. Application for Registration as a Dealer (FINRA)
Amendment    |   Updated: 03/21/2024
69W-600.0011. Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser
Amendment    |   Updated: 03/21/2024
69W-600.0012. Application for Registration as a Dealer (Non-FINRA)
Amendment    |   Updated: 03/21/2024
69W-600.0015. Canadian Dealer Notice-Filing
Amendment    |   Updated: 03/21/2024
69W-600.0016. Application for Registration as an Investment Adviser (State Registered)
Amendment    |   Updated: 03/21/2024
69W-600.0017. Notice-Filing for Federal Covered Advisers
Amendment    |   Updated: 03/21/2024
69W-600.0019. Registration of Florida Intrastate Crowdfunding Intermediaries
Amendment    |   Updated: 03/21/2024
69W-600.002. Application for Registration as Associated Person (FINRA Dealer)
Amendment    |   Updated: 03/21/2024
69W-600.0022. Application for Registration as an Associated Person (Non-FINRA Dealer)
Amendment    |   Updated: 03/21/2024
69W-600.0024. Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
Amendment    |   Updated: 03/21/2024
69W-600.012. Rules of Conduct
Amendment    |   Updated: 03/21/2024
69W-600.013. Prohibited Business Practices for Dealers and Their Associated Persons
Amendment    |   Updated: 03/21/2024
69W-600.0131. Prohibited Business Practices for Investment Advisers and Their Associated Persons
Amendment    |   Updated: 03/21/2024