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Fla. Admin. Code Ch. 69W-600 – Registration of Dealers, Investment Advisers, Associated Persons | Midpage
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Florida Administrative Code
Division 69
69W
Chapter 69W-600
Fla. Admin. Code Ch. 69W-600
Registration of Dealers, Investment Advisers, Associated Persons
69W-600.001
Application for Registration as a Dealer (FINRA)
69W-600.0011
Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser
69W-600.0012
Application for Registration as a Dealer (Non-FINRA)
69W-600.0015
Canadian Dealer Notice-Filing
69W-600.0016
Application for Registration as an Investment Adviser (State Registered)
69W-600.0017
Notice-Filing for Federal Covered Advisers
69W-600.0018
Notice-Filing and Requirements for Florida Limited Offering Exemption Issuers
69W-600.0019
Registration of Florida Limited Offering Intermediaries
69W-600.002
Application for Registration as Associated Person (FINRA Dealer)
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-600.0024
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-600.0034
Notice-Filing of Branch Office (Investment Adviser)
69W-600.012
Rules of Conduct
69W-600.013
Prohibited Business Practices for Dealers and Their Associated Persons
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 or Senior-Specific Professional Designations by Associated Persons and Investment Advisers
69W-600.014
Books and Records Requirements
69W-600.0141
Notification of Delay of Disbursement/Transaction from Account of Specified Adult
69W-600.0145
Requirements for Florida Intrastate Crowdfunding Intermediaries
69W-600.0151
Net Capital and Financial Reporting Requirements for Dealers
69W-600.0161
Net Capital and Financial Reporting Requirements for Investment Advisers
69W-600.017
Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities