Rule: 69W-600.0011

Rule Title: Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Latest version of the final adopted rule presented in Florida Administrative Code (FAC):

Effective Date:

9/16/2025

History Notes:

Rulemaking Authority 517.1611(2) FS. Law Implemented 517.12 , 517.161 FS. History–New 9-2-10, Amended 12-5-19, 2-14-23, 3-21-24, 9-16-25.

References in this version:

No reference(s).

History of this Rule since Jan. 6, 2006

Notice /

Adopted

Section

Description

Publish

Date

Final

69W-600.0011

Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser

Effective:

09/16/2025

Proposed

69W-600.001

......

The purpose and effect is to amend fingerprint requirements, to implement changes made to the Florida Limited Offering Exemption, and to update cross-references.

7/1/2025

Vol. 51/127

Development

69W-600.001

......

The purpose and effect is to amend fingerprint requirements, to implement changes made to the Florida Limited Offering Exemption, and to update cross-references.

6/13/2025

Vol. 51/115

Final

69W-600.0011

Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser

Effective:

03/21/2024

Proposed

69W-600.001

......

The purpose and effect is to conform the rules to

Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority ....

1/17/2024

Vol. 50/11

Development

69W-600.001

......

The purpose and effect is to conform the rules to

Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority ....

8/11/2023

Vol. 49/156

Final

69W-600.0011

Effect of Law Enforcement Records on Applications for Registration as Dealer, Intermediary, or Investment Adviser

Effective:

02/14/2023

Public Hearing

69W-600.001

......

This is a public hearing to discuss the proposed rulemaking of Rules 69W-600.001, 69W-600.0011, 69W-600.0012, 69W-600.0013, 69W-600.0016, 69W-600.002, ....

December 13, 2022, 10:00 a.m.

101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, ....

12/5/2022

Vol. 48/234

Proposed

69W-600.001

......

The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration ....

9/30/2022

Vol. 48/191

Development

69W-600.001

......

The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration ....

9/12/2022

Vol. 48/177

Final

69W-600.0011

Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser

Effective:

12/05/2019

Change

69W-600.0011

......

Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser, Effect of Law Enforcement Records on Applications for Registration as Associated Persons....

10/9/2019

Vol. 45/197

Proposed

69W-600.001

......

The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove ....

8/13/2019

Vol. 45/157

Development

69W-600.001

......

The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove ....

6/20/2019

Vol. 45/120

Final

69W-600.0011

Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser

Effective:

09/02/2010

Public Hearing

69W-600.0011

This is the Final Public Hearing on the adoption of proposed Rule 69W-600.0011, F.A.C., published on June 4, 2010, in Vol. 36, No. 22 of the ....

July 29, 2010, 9:00 a.m., during a regular meeting of the Financial ....

Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....

7/16/2010

Vol. 36/28

Proposed

69W-600.0011

Section 517.1611(2), F.S., requires the Financial Services Commission to adopt registration disqualifying periods for applicants and their relevant persons based upon criminal convictions, pleas of nolo contendere, or pleas ....

6/4/2010

Vol. 36/22

Development

69W-600.0011

During the regular 2009 legislative session, the Florida Legislature passed House Bill 483, relating to investor protection. The bill was signed into law on June 29, 2009, and took effect on July 1, 2009. A key provision ....

12/24/2009

Vol. 35/51