Florida · Regulations
69W-600 — REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS
43 sections
43 sections
- 69W-600.001, F.A.C.69W-600.001. Application for Registration as a Dealer (FINRA)
- 69W-600.002, F.A.C.69W-600.002. Application for Registration as Associated Person (FINRA Dealer)
- 69W-600.003, F.A.C.69W-600.003. Multiple RegistrationRepealed
- 69W-600.004, F.A.C.69W-600.004. Registration of Issuer/Dealers and Principals and Notice-Filing of Branch OfficesRepealed
- 69W-600.005, F.A.C.69W-600.005. Examinations/QualificationsRepealed
- 69W-600.006, F.A.C.69W-600.006. Fingerprint RequirementsRepealed
- 69W-600.007, F.A.C.69W-600.007. Changes in Name and Successor Registration RequirementsRepealed
- 69W-600.008, F.A.C.69W-600.008. Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch OfficeRepealed
- 69W-600.009, F.A.C.69W-600.009. Registration and Notice-Filing RenewalsRepealed
- 69W-600.010, F.A.C.69W-600.010. Notice of Civil, Criminal or Administrative ActionRepealed
- 69W-600.0011, F.A.C.69W-600.0011. Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser
- 69W-600.0012, F.A.C.69W-600.0012. Application for Registration as a Dealer (Non-FINRA)
- 69W-600.012, F.A.C.69W-600.012. Rules of Conduct
- 69W-600.0013, F.A.C.69W-600.0013. Application for Registration as an Issuer/DealerRepealed
- 69W-600.013, F.A.C.69W-600.013. Prohibited Business Practices for Dealers and Their Associated Persons
- 69W-600.014, F.A.C.69W-600.014. Books and Records Requirements
- 69W-600.0015, F.A.C.69W-600.0015. Canadian Dealer Notice-Filing
- 69W-600.015, F.A.C.69W-600.015. Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment AdvisersRepealed
- 69W-600.0016, F.A.C.69W-600.0016. Application for Registration as an Investment Adviser (State Registered)
- 69W-600.016, F.A.C.69W-600.016. Net Capital Requirements for Dealers and Investment AdvisersRepealed
- 69W-600.0017, F.A.C.69W-600.0017. Notice-Filing for Federal Covered Advisers
- 69W-600.017, F.A.C.69W-600.017. Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
- 69W-600.0018, F.A.C.69W-600.0018. Notice-Filing and Requirements for Florida Limited Offering Exemption Issuers
- 69W-600.0019, F.A.C.69W-600.0019. Registration of Florida Limited Offering Intermediaries
- 69W-600.020, F.A.C.69W-600.020. Continuing Education RequirementsRepealed
- 69W-600.0021, F.A.C.69W-600.0021. Effect of Law Enforcement Records on Applications for Registration as Associated Persons
- 69W-600.0022, F.A.C.69W-600.0022. Application for Registration as an Associated Person (Non-FINRA Dealer)
- 69W-600.0023, F.A.C.69W-600.0023. Application for Registration as an Associated Person (Issuer/Dealer)Repealed
- 69W-600.0024, F.A.C.69W-600.0024. Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
- 69W-600.0031, F.A.C.69W-600.0031. Notice-Filing of Branch Office (FINRA Dealer)
- 69W-600.0032, F.A.C.69W-600.0032. Notice-Filing of Branch Office (Non-FINRA Dealer)
- 69W-600.0033, F.A.C.69W-600.0033. Notice Filing of Branch Office (Issuer/Dealer)Repealed
- 69W-600.0034, F.A.C.69W-600.0034. Notice-Filing of Branch Office (Investment Adviser)
- 69W-600.0091, F.A.C.69W-600.0091. Central Registration Depository SystemRepealed
- 69W-600.0092, F.A.C.69W-600.0092. Investment Adviser Registration Depository for Federal Covered AdvisersRepealed
- 69W-600.0093, F.A.C.69W-600.0093. Investment Adviser Registration Depository for Investment AdvisersRepealed
- 69W-600.0131, F.A.C.69W-600.0131. Prohibited Business Practices for Investment Advisers and Their Associated Persons
- 69W-600.0132, F.A.C.69W-600.0132. Custody Requirements for Investment Advisers
- 69W-600.0133, F.A.C.69W-600.0133. Use of Senior - Specific Certifications or Senior-Specific Professional Designations by Associated Persons and Investment Advisers
- 69W-600.0141, F.A.C.69W-600.0141. Notification of Delay of Disbursement/Transaction from Account of Specified Adult
- 69W-600.0145, F.A.C.69W-600.0145. Requirements for Florida Intrastate Crowdfunding Intermediaries
- 69W-600.0151, F.A.C.69W-600.0151. Net Capital and Financial Reporting Requirements for Dealers
- 69W-600.0161, F.A.C.69W-600.0161. Net Capital and Financial Reporting Requirements for Investment Advisers