15273443, 69W-200.002 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 15273443

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

DEFINITIONS

Overview

RULE:

69W-200.002

General Industry Standards Incorporated by Reference

PURPOSE:

This rule is proposed to be amended to incorporate two new materials by reference (SEC Rules 204-1 and 206(4)-7), proposed to be referenced in Rule 69W-600.0131(1)(a), F.A.C.  These SEC rules require federal investment advisers, among other things, to annually file amendments to their registration form (Form ADV) and adopt and implement compliance procedures and practices, respectively.  The proposed addition of these SEC rules in Rules 69W-200.002 and 69W-600.0131, F.A.C. will require Florida state registered investment advisers to also comply with the provisions of these rules.

SUBJECT:

Securities Regulation

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:

11/24/2014 Vol. 40/228

RELATED STATUTES
AND LAWS:

517.03(1), 517.1215(2), 517.1217 FS., 517.081, 517.12(4), 517.1215, 517.1217, 517.161(1) FS.

OVERSIGHT COMMITTEE:

Joint Administrative Procedures Committee
Florida Administrative Law Central Online Network (F.A.L.C.O.N.)

RELATED COURT CASES:

Division of Administrative Hearings

FEDERAL eRULEMAKING
WEB PORTAL:

Regulations.gov

HOW TO LINK TO
THIS NOTICE:

http://flrules.org/gateway/ruleno.asp?id=69W-200.002&PDate=11/24/2014&Section=1

REFERENCE MATERIALS:

No reference(s).

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