Chapter 69W-600 - REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

  1. § 69W-600.001 - Application for Registration as a Dealer (FINRA)
  2. § 69W-600.0011 - Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, Intermediary, or Investment Adviser
  3. § 69W-600.0012 - Application for Registration as a Dealer (Non-FINRA)
  4. § 69W-600.0013 - Application for Registration as an Issuer/Dealer
  5. § 69W-600.0015 - Canadian Dealer Notice-Filing
  6. § 69W-600.0016 - Application for Registration as an Investment Adviser (State Registered)
  7. § 69W-600.0017 - Notice-Filing for Federal Covered Advisers
  8. § 69W-600.0018 - Notice-Filing and Requirements for Florida Intrastate Crowdfunding Issuers
  9. § 69W-600.0019 - Registration of Florida Intrastate Crowdfunding Intermediaries
  10. § 69W-600.002 - Application for Registration as Associated Person (FINRA Dealer)
  11. § 69W-600.0021 - Effect of Law Enforcement Records on Applications for Registration as Associated Persons
  12. § 69W-600.0022 - Application for Registration as an Associated Person (Non-FINRA Dealer)
  13. § 69W-600.0023 - Application for Registration as an Associated Person (Issuer/Dealer)
  14. § 69W-600.0024 - Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
  15. § 69W-600.003 - [Repealed] Multiple Registration
  16. § 69W-600.0031 - Notice-Filing of Branch Office (FINRA Dealer)
  17. § 69W-600.0032 - Notice-Filing of Branch Office (Non-FINRA Dealer)
  18. § 69W-600.0033 - Notice Filing of Branch Office (Issuer/Dealer)
  19. § 69W-600.0034 - Notice-Filing of Branch Office (Investment Adviser)
  20. § 69W-600.004 - [Repealed] Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices
  21. § 69W-600.005 - [Repealed] Examinations/Qualifications
  22. § 69W-600.006 - [Repealed] Fingerprint Requirements
  23. § 69W-600.007 - [Repealed] Changes in Name and Successor Registration Requirements
  24. § 69W-600.008 - [Repealed] Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office
  25. § 69W-600.009 - [Repealed] Registration and Notice-Filing Renewals
  26. § 69W-600.0091 - [Repealed] Central Registration Depository System
  27. § 69W-600.0092 - [Repealed] Investment Adviser Registration Depository for Federal Covered Advisers
  28. § 69W-600.0093 - [Repealed] Investment Adviser Registration Depository for Investment Advisers
  29. § 69W-600.010 - [Repealed] Notice of Civil, Criminal or Administrative Action
  30. § 69W-600.012 - Rules of Conduct
  31. § 69W-600.013 - Prohibited Business Practices for Dealers and Their Associated Persons
  32. § 69W-600.0131 - Prohibited Business Practices for Investment Advisers and Their Associated Persons
  33. § 69W-600.0132 - Custody Requirements for Investment Advisers
  34. § 69W-600.0133 - Use of Senior-Specific Certifications and Professional Designations by Associated Persons and Investment Advisers
  35. § 69W-600.014 - Books and Records Requirements
  36. § 69W-600.0141 - Notification of Delay of Disbursement/Transaction from Account of Specified Adult
  37. § 69W-600.0145 - Requirements for Florida Intrastate Crowdfunding Intermediaries
  38. § 69W-600.015 - [Repealed] Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers
  39. § 69W-600.0151 - Net Capital and Financial Reporting Requirements for Dealers and Issuer/Dealers
  40. § 69W-600.016 - [Repealed] Net Capital Requirements for Dealers and Investment Advisers
  41. § 69W-600.0161 - Net Capital and Financial Reporting Requirements for Investment Advisers
  42. § 69W-600.017 - Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
  43. § 69W-600.020 - [Repealed] Continuing Education Requirements

State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.