Florida Department of State and Division of Library and Information Services
Notice: 26765906
Final Adopted Version in F.A.C.
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: DEFINITIONS

VIEW NOTICE

Overview
RULE:
69W-200.002   General Industry Standards Incorporated by Reference
RULE FILE DATE: 1/25/2023
RULE EFFECTIVE DATE: 2/14/2023
HISTORY NOTES: Rulemaking Authority 517.03(1), 517.1215(2), 517.1217 FS. Law Implemented 517.081, 517.12(4), 517.1215, 517.1217, 517.161(1) FS. History–New 9-22-14, Amended 5-6-15, 11-26-19, 1-18-21, 2-14-23.
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-200.002&Section=0
REFERENCE MATERIALS: Ref-04523 SEC Rules 17a-5 (17 C.F.R. § 240.17a-5) (6-1-14) and 17a-10 (17 C.F.R. § 240.17a-10) (12-9-81)
Ref-04527 Section 642(c)(5) of the Internal Revenue Code of 1954 (26 U.S.C. §642(c)(5)) (1-23-02)
Ref-04528 Regulation S (17 C.F.R. §§ 230.901 through 230.905) (4-1-13 edition)
Ref-04533 SEC Rule 17f-2 (17 C.F.R. § 240.17f-2) (4-1-13 edition)
Ref-04537 SEC Rule 9b-1 (17 CFR § 240.9b-1) (4-1-14 edition)
Ref-04538 SEC Rules 10b-1, 10b-3, 10b-5, 10b5-1, 10b5-2, 10b-9, 10b-10, 10b-16, 10b-17, 10b-18, and 10b-21 (17 CFR §§ 240.10b-1, 240.10b-3, 240.10b-5, 240.10b5-1, 240.10b5-2, 240.10b-9, 240.10b-10, 240.10b-16, 240.10b-17, 240.10b-18, and 240.10b-21) (4-1-14 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-04543 SEC Rule 601 (17 C.F.R. § 242.601) (4-1-14 edition)
Ref-04544 Regulation T, Credit by Brokers and Dealers, (12 C.F.R. §§ 220.1 through 220.12, 220.101, 220.103, 220.105, 220.108, 220.110, 220.111, 220.113, 220.117, 220.118, 220.119, 220.121, 220.122, 220.123, 220.124, 220.127, 220.128, 220.131, 220.132); and 12 C.F.R. § 221.125 of Regulation U (1-1-13 edition)
Ref-04545 SEC Rule 8c-1, (17 C.F.R. § 240.8c-1) (4-1-14 edition)
Ref-04565 National Securities Markets Improvement Act of 1996 (Pub. L. 104-290) (10-11-96)
Ref-04566 Section 4f(a) of the Commodity Exchange Act (7 U.S.C. § 6f) (2012)
Ref-04578 Employee Retirement Income Security Act of 1974 (Pub.L. 93-406) (4-7-14)
Ref-04579 Section 501(c)(3) of the Internal Revenue Code (26 U.S.C. §501(c)(3)) (3-30-10)
Ref-04580 SEC Rule 15a-6(b)(4)(i) (17 C.F.R. §240.15a-6) (4-1-14 edition)
Ref-11282 Sections 2, 3, 4, 5, 6, 7, 8, and 10(a) of the Securities Act of 1933, (15 U.S.C. §§77b, 77c, 77d, 77e, 77f, 77g, 77h, and 77j) (6-4-19)
Ref-11284 Investment Company Act of 1940 (15 U.S.C. §§80a-1 through 80a-64) (4-3-19)
Ref-11285 The Investment Advisers Act of 1940 (15 U.S.C. §§80b-1 through 80b-21) (3-11-19)
Ref-11286 Section 422 of the Internal Revenue Code (26 U.S.C. §422) (4-2-19)
Ref-11287 Sections 856, 857 and 858 of the Internal Revenue Code of 1954 (26 U.S.C. §§856 through 858) (3-11-19)
Ref-11294 Regulation S-P §248.30 (17 C.F.R. §248.30) (4-1-18 edition)
Ref-12528 17 CFR 230.701
Ref-12530 17 CFR 15c3-1 and appendices
Ref-12531 17 CFR 17a-3 and 17a-4
Ref-12532 17 CFR 17a-11 and 17a-14
Ref-15083 3 -15 USC 778a through 78qq 4.12.22
Ref-15084 13 - 17 C.F.R. part 210 4.1.21
Ref-15085 14 - 17 C.F.R. 230.134 et al. 4.1.21
Ref-15086 15 - 17 C.F.R. 230.144A 4.1.21
Ref-15087 16 - 17 C.F.R. Regulation A 4.1.21
Ref-15088 17 - 17 C.F.R. 230.415 12.9.21
Ref-15089 18 - 17 C.F.R. 230.501 4.1.21
Ref-15090 26- 17 C.F.R. 240.15c2-1 through c2-12 4.1.21
Ref-15091 28- 17 C.F.R. 240.15c3-3 Exhibit A 4.1.21
Ref-15092 29 - 17 C.F.R. 240.15g-1 through 240.15g-9
Ref-15093 34 - 17 C.F.R. Regulation M 4.9.21
Ref-15094 35 - 17 C.F.R. Regulation SHO 4.9.21
Ref-15095 38 - 17 C.F.R. 204-1 et. al. 4.15.22
Ref-15096 40 - FINRA Rules 1020 and 1240 5.9.22
Ref-15097 41 - FINRA Rule 2000 Series 5.9.22
Ref-15098 42 - FINRA Rule 3000 Series 5.9.22
Ref-15099 43 - FINRA Rule 4000 Series 5.9.22
Ref-15100 44 - FINRA Rule 5000 Series 5.10.22
Ref-15101 45 - FINRA Rule 6000 Series 5.10.22
Ref-15102 46 - FINRA Rule 7000 Series 5.11.22
Ref-15103 47 - FINRA Rule 11000 Series 5.11.22
Ref-15105 48 - MSRB Rules 10.1.21


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