15562891, 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: 15562891

Notice of Proposed Rule

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 one new material by reference, SEC Rule 204-1 (17 C.F.R. 275.204-1), to be referenced in Rule 69W-600.0131, F.A.C.  The effect of this incorporation is to require state investment advisers to comply with the requirements in SEC Rule 204-1, including annually updating their Form ADV.

SUMMARY:

Subsection (50) is proposed to be amended to incorporate SEC Rule 204-1 by reference.

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:

1/29/2015 Vol. 41/19

COMMENTS:

From 1/29/2015 To 2/19/2015 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

Ref-04563 SEC Rule 204-3 (17 C.F.R. §275.204-3); Rule 205-1 (17 C.F.R. §275.205-1); Rule 205-2 (17 C.F.R. §275.205-2); Rule 205-3 (17 C.F.R. §275.205-3); Rule 206(3)-1 (17 C.F.R. §275.206(3)-1); Rule 206(3)-2 (17 C.F.R. §275.206(3)-2); Rule 206(4)-1 (17 C.F.R. §275.206(4)-1; Rule 206(4)-3 (17 C.F.R. §275.206(4)-3, (4-1-14 edition)

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