Notice: 23956592
Notice of Development of Rulemaking
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
69W-600.0161   Net Capital and Financial Reporting Requirements for Investment Advisers
RULEMAKING AUTHORITY: 517.03(1), 517.12(9), 517.121, FS.
LAW: 517.12(9), 517.121(2), 517.161(1), 517.201, F.S.
PRINT PUBLISH DATE: 12/4/2020   Vol. 46/235

RELATED STATUTES
AND LAWS:
517.03(1), 517.12(9), 517.121, FS., 517.12(9), 517.121(2), 517.161(1), 517.201, F.S.

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 eRULEMAKING
WEB PORTAL:
Regulations.gov

HOW TO LINK TO
THIS NOTICE:
http://flrules.org/gateway/ruleno.asp?id=69W-600.0151&PDate=12/4/2020&Section=1
REFERENCE MATERIALS: No reference(s).