Notice: 15917620
Final Adopted Version in F.A.C.
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview

RULE:
69W-600.0151   Net Capital and Financial Reporting Requirements for Dealers
RULE FILE DATE: 4/16/2015
RULE EFFECTIVE DATE: 5/6/2015
HISTORY NOTES: Rulemaking Authority 517.03(1), 517.12(9), 517.121(2) FS. Law Implemented 517.12(9), 517.121(2), 517.161(1), 517.201 FS. History–New 5-6-15.

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 RULES
AND REGULATIONS:
Electronic Code of Federal Regulations

HOW TO LINK TO
THIS NOTICE:
http://flrules.org/gateway/ruleno.asp?id=69W-600.0151&Section=0
REFERENCE MATERIALS: Ref-05358 Form X-17A-5 Part IIA (FOCUS Report) (02-03)