Proposed Amendments to Florida Administrative Code

January 5, 2007

Proposed Amendments to Florida Administrative Code:

• Rule 69W-200.001: Definitions
• Rule 69W-300.002: Financial Statements and Reports
• Rule 69W-301.002: Processing of Applications
• Rule 69W-400.001: Rules for Eleemosynary and Religious Organizations Under the Requirements of Section 517.051(9), F.S, Rules for Government Securities Under Section 517.051(1), F.S
• Rule 69W-500.004: Computation of Number of Purchasers for Purposes of Section 517.061(11)
• Rule 69W-600.001: Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser, 69W-600.0015: Application for Registration as a Canadian Dealer, 69W-600.002: Application for Registration as Associated Person, 69W-600.004: Registration of Issuer/Dealers, Principals and Branch Offices, 69W-600.006: Associated Persons’ Fingerprints, 69W-600.009: Registration Renewals, 69W-600.0091: Central Registration Depository System, 69W-600.0092: Investment Adviser Registration Depository for Federal Covered Advisers, 69W-600.0093: Investment Adviser Registration Depository for Investment Advisers, 69W-600.014: Books and Records Requirements, 69W-600.016: Net Capital Requirements for Dealers and Investment Advisers)
• Rule 69W-700.005: Promoters Equity Investment Ratio