Florida Department of State and Division of Library and Information Services
Notice: 15344350
Notice of Meeting/Workshop Hearing
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview
RULE:
69W-600.0131   Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.0132   Custody Requirements for 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69W-600.015   Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed)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-600.0151   Net Capital and Financial Reporting Requirements for Dealers
69W-600.016   Net Capital Requirements for Dealers and Investment Advisers (Repealed)
69W-600.0161   Net Capital and Financial Reporting Requirements for Investment Advisers
  The Office of Financial Regulation announces a workshop to which all persons are invited.
DATE AND TIME:
PLACE:
Subject:
  A copy of the agenda may be obtained by contacting: Meredith Stanfield, Legislative and Cabinet Affairs, Meredith.Stanfield@flofr.com
PRINT PUBLISH DATE: 12/4/2014   Vol. 40/234
REFERENCE MATERIALS: No reference(s).


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