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Rules Open for Comments
Notice: 28116631
Final Adopted Version in F.A.C.
Department:
DEPARTMENT OF FINANCIAL SERVICES
Division:
Securities
Chapter:
DEFINITIONS
Overview
RULE:
69W-200.002
General Industry Standards Incorporated by Reference
RULE FILE DATE:
3/1/2024
RULE EFFECTIVE DATE:
3/21/2024
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, 3-21-24.
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-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-12532 17 CFR 17a-11 and 17a-14
Ref-15084 13 - 17 C.F.R. part 210 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-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-15095 38 - 17 C.F.R. 204-1 et. al. 4.15.22
Ref-16475 Investment Company Act of 1940 (15 U.S.C. ss. 80a-1 through 80a-64) 07-06-23
Ref-16476 Securities Exchange Act of 1934 (15 U.S.C. ss. 78a through 78qq) 07-06-23
Ref-16478 The Investment Advisers Act of 1940 (15 U.S.C. ss. 80b-1 through 80b-21) 07-06-23
Ref-16479 SEC Rule 415 (17 C.F.R. 230.415) 4-1-22
Ref-16481 SEC Rules 134, 134a, 135a, 144, 156, 419, 481 and 482 4-1-22 as amended
Ref-16482 Regulation Best Interest (17 CFR 240.15l-1) 4-1-22
Ref-16483 SEC Rules 17a-3 and 17a-4 (17 C.F.R. ss. 240.17a-3 and 240.17a-4) as amended
Ref-16484 Regulation M (17 C.F.R. ss. 242.100 through 242.105) as amended
Ref-16485 Regulation SHO (17 C.F.R. ss.242.200-242.203) 4-1-22
Ref-16486 FINRA Rules 1020 and 1240 07-05-23
Ref-16489 FINRA Rule 2000 Series (2010 through 2370) 07-05-23
Ref-16490 FINRA Rule 3000 Series (3110 through 3310) 07-05-23
Ref-16491 FINRA Rule 4000 Series (4110 through 4590) 07-05-23
Ref-16493 FINRA Rule 5000 Series (5110 through 5350) 07-05-23
Ref-16494 FINRA Rule 6000 Series (6110 through 6898) 07-05-23
Ref-16495 FINRA Rule 7000 Series (7110 through 7730) 07-05-23
Ref-16496 FINRA Rule 11000 Series (11100 through 11900) 07-05-23
Ref-16497 MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 10-1-22
Ref-16498 Sections 2 3 4 5 6 7 8 and 10(a) of the Securities Act of 1933 (15 U.S.C. ss. 77b 77c 77d 77e 77f 77g 77h and 77j) 07-06-23
