22251623, 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: 22251623

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:

The purpose and effect is to amend the existing rule to incorporate by reference the current versions of general industry standards and to incorporate one new material by reference, Regulation S-P § 248.30 (17 C.F.R. §248.30) (4-1-18 edition). Brokers, dealers, and federally covered advisers are already required to comply with Regulation S-P §248.30, which requires the adoption of written policies and procedures that address administrative, technical, and physical safeguards for the protection of customer records and information. Additionally, the proposed amendment reorders the rule and deletes duplicative provisions to improve organization.

SUMMARY:

The proposed amended rule incorporates by reference the current versions of the general industry standards and adds subsection (37) to incorporate Regulation S-P § 248.30 (17 C.F.R. §248.30) (4-1-18 edition). Additionally, the proposed amendment reorders the rule and deletes duplicative provisions to improve organization.

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:

8/13/2019 Vol. 45/157

COMMENTS:

From 8/13/2019 To 9/3/2019 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

Ref-04533 SEC Rule 17f-2 (17 C.F.R. § 240.17f-2) (4-1-13 edition)
Ref-04539 SEC Rules 15c1-1 through 15c1-3 and 15c1-5 through 15c1-9 (17 CFR §§ 240.15c1-1 through 240.15c1-3 and 240.15c1-5 through 240.15c1-9) (4-1-14 edition)
Ref-04545 SEC Rule 8c-1, (17 C.F.R. § 240.8c-1) (4-1-14 edition)
Ref-04557 SEC Rules 134, 134a, 135a, 144, 156, 419, 481, and 482, (17 C.F.R. §§ 230.134, 230.134a, 230.135a, 230.144, 230.156, 230.419, 230.481 and 230.482) (4-1-13 edition)
Ref-04571 SEC Rule 15c3-1 and appendices (17 C.F.R. §240.15c3-1 (7-7-14); 17 C.F.R. §240.15c3-1a (7-7-14); 17 C.F.R. §240.15c3-1b (8-9-84); 17 C.F.R. §240.15c3-1c (12-2-92); 17 C.F.R. §240.15c3-1d (6-5-08); 17 C.F.R. §240.15c3-1e (7-7-14); 17 C.F.R. §240.15c3-1f (7-7-14); 17 C.F.R. §240.15c3-1g (7-7-14))

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