R. 69W-600.001 Application for Registration as a Dealer (FINRA)
R. 69W-600.0011 Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser
R. 69W-600.0012 Application for Registration as a Dealer (Non-FINRA)
R. 69W-600.0013 Application for Registration as an Issuer/Dealer
R. 69W-600.0015 Canadian Dealer Notice-Filing
R. 69W-600.0016 Application for Registration as an Investment Adviser (State Registered)
R. 69W-600.0017 Notice-Filing for Federal Covered Advisers
R. 69W-600.0018 Notice-Filing and Requirements for Florida Intrastate Crowdfunding Issuers
R. 69W-600.0019 Registration of Florida Intrastate Crowdfunding Intermediaries
R. 69W-600.002 Application for Registration as Associated Person (FINRA Dealer)
R. 69W-600.0021 Effect of Law Enforcement Records on Applications for Registration as Associated Persons
R. 69W-600.0022 Application for Registration as an Associated Person (Non-FINRA Dealer)
R. 69W-600.0023 Application for Registration as an Associated Person (Issuer/Dealer)
R. 69W-600.0024 Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
R. 69W-600.0031 Notice-Filing of Branch Office (FINRA Dealer)
R. 69W-600.0032 Notice-Filing of Branch Office (Non-FINRA Dealer)
R. 69W-600.0033 Notice Filing of Branch Office (Issuer/Dealer)
R. 69W-600.0034 Notice-Filing of Branch Office (Investment Adviser)
R. 69W-600.012 Rules of Conduct
R. 69W-600.013 Prohibited Business Practices for Dealers and Their Associated Persons
R. 69W-600.0131 Prohibited Business Practices for Investment Advisers and Their Associated Persons
R. 69W-600.0132 Custody Requirements for Investment Advisers
R. 69W-600.0133 Use of Senior – Specific Certifications and Professional Designations by Associated Persons and Investment Advisers
R. 69W-600.014 Books and Records Requirements
R. 69W-600.0145 Requirements for Florida Intrastate Crowdfunding Intermediaries
R. 69W-600.0151 Net Capital and Financial Reporting Requirements for Dealers and Issuer/Dealers
R. 69W-600.0161 Net Capital and Financial Reporting Requirements for Investment Advisers
R. 69W-600.017 Customer Protection Rule – Reserve Requirements and Custody of Customer Funds and Securities

Terms Used In Florida Regulations > Chapter 69W-600 - Registration of Dealers, Investment Advisers, Associated Persons

  • Affidavit: A written statement of facts confirmed by the oath of the party making it, before a notary or officer having authority to administer oaths.
  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Answer: The formal written statement by a defendant responding to a civil complaint and setting forth the grounds for defense.
  • Appeal: A request made after a trial, asking another court (usually the court of appeals) to decide whether the trial was conducted properly. To make such a request is "to appeal" or "to take an appeal." One who appeals is called the appellant.
  • Appraisal: A determination of property value.
  • Arrest: Taking physical custody of a person by lawful authority.
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • Complaint: A written statement by the plaintiff stating the wrongs allegedly committed by the defendant.
  • Contract: A legal written agreement that becomes binding when signed.
  • Conviction: A judgement of guilt against a criminal defendant.
  • Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
  • Defendant: In a civil suit, the person complained against; in a criminal case, the person accused of the crime.
  • Dismissal: The dropping of a case by the judge without further consideration or hearing. Source:
  • Embezzlement: In most states, embezzlement is defined as theft/larceny of assets (money or property) by a person in a position of trust or responsibility over those assets. Embezzlement typically occurs in the employment and corporate settings. Source: OCC
  • Entitlement: A Federal program or provision of law that requires payments to any person or unit of government that meets the eligibility criteria established by law. Entitlements constitute a binding obligation on the part of the Federal Government, and eligible recipients have legal recourse if the obligation is not fulfilled. Social Security and veterans' compensation and pensions are examples of entitlement programs.
  • Escrow: Money given to a third party to be held for payment until certain conditions are met.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Felony: A crime carrying a penalty of more than a year in prison.
  • Fiduciary: A trustee, executor, or administrator.
  • Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
  • Forgery: The fraudulent signing or alteration of another's name to an instrument such as a deed, mortgage, or check. The intent of the forgery is to deceive or defraud. Source: OCC
  • Fraud: Intentional deception resulting in injury to another.
  • Grantor: The person who establishes a trust and places property into it.
  • Interest rate: The amount paid by a borrower to a lender in exchange for the use of the lender's money for a certain period of time. Interest is paid on loans or on debt instruments, such as notes or bonds, either at regular intervals or as part of a lump sum payment when the issue matures. Source: OCC
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • Liabilities: The aggregate of all debts and other legal obligations of a particular person or legal entity.
  • Litigation: A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants.
  • Misdemeanor: Usually a petty offense, a less serious crime than a felony, punishable by less than a year of confinement.
  • Nolo contendere: No contest-has the same effect as a plea of guilty, as far as the criminal sentence is concerned, but may not be considered as an admission of guilt for any other purpose.
  • Oath: A promise to tell the truth.
  • Oversight: Committee review of the activities of a Federal agency or program.
  • Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
  • Plea: In a criminal case, the defendant's statement pleading "guilty" or "not guilty" in answer to the charges, a declaration made in open court.
  • Probation: A sentencing alternative to imprisonment in which the court releases convicted defendants under supervision as long as certain conditions are observed.
  • Restitution: The court-ordered payment of money by the defendant to the victim for damages caused by the criminal action.
  • Settlement: Parties to a lawsuit resolve their difference without having a trial. Settlements often involve the payment of compensation by one party in satisfaction of the other party's claims.
  • Trial: A hearing that takes place when the defendant pleads "not guilty" and witnesses are required to come to court to give evidence.
  • Trustee: A person or institution holding and administering property in trust.