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- Section 69W-600.0013 - Application for Registration as an Issuer/Dealer (Repealed)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- Section 69W-600.0023 - Application for Registration as an Associated Person (Issuer/Dealer) (Repealed)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- Section 69W-600.003 - Multiple Registration (Repealed)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- Section 69W-600.0033 - Notice Filing of Branch Office (Issuer/Dealer) (Repealed)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- Section 69W-600.004 - Registration of Issuer/Dealers and Principals and Notice-Filing of Branch Offices (Repealed)
- Section 69W-600.005 - Examinations/Qualifications (Repealed)
- Section 69W-600.006 - Fingerprint Requirements (Repealed)
- Section 69W-600.007 - Changes in Name and Successor Registration Requirements (Repealed)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- Termination of Registration as Dealer, Investment Adviser, Principal or Agent, or Notification of Branch Office (Repealed)
- Section 69W-600.009 - Registration and Notice-Filing Renewals (Repealed)
- Section 69W-600.0091 - Central Registration Depository System (Repealed)
- Section 69W-600.0092 - Investment Adviser Registration Depository for Federal Covered Advisers (Repealed)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