Notice: 24213836
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: 2/11/2021
RULE EFFECTIVE DATE: 3/3/2021
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, Amended 11-26-19, 3-3-21.

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-11279 SEC Form X-17A-5 FOCUS Report Part IIA (11-05)