14550211, 69W-600.006 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 14550211

Notice of Proposed Rule

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.006	Fingerprint Requirements (Repealed)
69W-600.012	Rules of Conduct
69W-600.013	Prohibited Business Practices for Dealers and Their Associated Persons
69W-600.0131	Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.0132	Custody Requirements for Investment Advisers
69W-600.0133	Use of Senior - Specific Certifications or Senior-Specific Professional Designations by Associated Persons and Investment Advisers
69W-600.014	Books and Records Requirements
69W-600.015	Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed)
69W-600.016	Net Capital Requirements for Dealers and Investment Advisers (Repealed)
69W-600.017	Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
69W-600.020	Continuing Education Requirements (Repealed)

PURPOSE:

The rules are proposed for amendment to: update references to incorporated material; correct cross-references; adopt FINRA 3240 in whole in Rule 69W-600.013 (previously adopted only in part); adopt MSRB Definitional Rules D-13, D-14, G-42, and G-43; adopt appendices E, F, and G to SEC Rule 15c3-1 in Rule 69W-600.016; and adopt Exhibit A of SEC Rule 15c3-3 in Rule 69W-600.017. The Office of Financial Regulation proposes to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into a new proposed rule 69W-200.002, F.A.C. that conforms with Section 120.54(1)(i), F.S. The proposed amendments would reference 69W-200.002, F.A.C., where the material can be accessed via the FAR.

SUMMARY:

See above.

RULEMAKING AUTHORITY:

517.03(1), 517.1215(2), 517.1217 FS.

LAW:

517.081, 517.12(4), 517.1215, 517.1217, 517.161(1) FS.

PRINT PUBLISH DATE:

5/19/2014 Vol. 40/97

COMMENTS:

From 5/19/2014 To 6/9/2014 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

No reference(s).

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