Board meetings, strategic plans, and buyer signals from Brian Hermeling’s organization
May 23, 2023·BoardMeeting
Board
Financial Services Commission Office of Financial Regulation
The agenda includes requests for approval of minutes from a previous cabinet meeting, approval to publish a notice of proposed rule to create new Rule 69U-100.323, and approval to publish a notice of proposed rule to amend several rules in the Florida Administrative Code. The proposed rules aim to update language to align with recently enacted laws, incorporate revised forms, clarify existing language, and adopt certain forms. Specific rules mentioned include 69U-100.323, 69V-160.030, 69V-160.031, 69V-160.032, 69V-160.039, 69V-160.111, 69V-560.1000, 69V-560.1012, 560.1013, 560.102, and 560.302.
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The Office of Financial Regulation (OFR) requests approval to file for final adoption amendments to Rules 69W-700.001 and 69W-800.001, Florida Administrative Code (F.A.C.), regarding securities registration. The amendments allow applicants to file forms and fees electronically through the North American Securities Administrators Association Electronic Filing Depository (EFD) or the REAL system, specifying when applications are deemed received.
Mar 9, 2021·BoardMeeting
Board
Financial Services Commission Agenda
The agenda includes two main items. The first item is a request for approval to file for final adoption amendments to Rules 69V-40.002 and 69V-40.0331, Florida Administrative Code, concerning loan originator regulations. The second item is a request for approval to publish a Notice of Proposed Rule to amend Rules 69U-110.021, 69U-110.0211, 69U-110.026, 69U-110.031, 69U-110.062, and 69U-110.063, Florida Administrative Code, pertaining to credit unions. These amendments update legal citations and federal standards, and clarify references to the National Credit Union Act and NCUA Rules.
Feb 2, 2021·BoardMeeting
Board
Financial Services Commission Agenda
The Office of Financial Regulation (OFR) requests approval to file for final adoption amendments to Rules 69W-600.0151 and 69W-600.0161, Florida Administrative Code (F.A.C.). These amendments require that financial statements filed by dealers, issuer/dealers, and investment advisers be submitted electronically via the REAL system or email, depending on the registrant's original application method.
Extracted from official board minutes, strategic plans, and video transcripts.
