15578508, 69W-600.014 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 15578508

Notice of Proposed Rule

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.014

Books and Records Requirements

PURPOSE:

The purpose and effect of these proposed amendments are to increase accountability and protection of client funds and securities in the event they are inadvertently held or obtained by the investment adviser.

SUMMARY:

The rule is proposed to be amended to add certain recordkeeping requirements for investment advisers who inadvertently hold or obtain client securities or funds, in accordance with NASAA model rules.

RULEMAKING AUTHORITY:

517.03(1), 517.121(1), 517.1215 FS

LAW:

517.121(1), 517.1215 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:

No reference(s).

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