29726249, 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: 29726249

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, including FINRA Rule 3110 as amended by SR-FINRA-2024-015 eff. November 26, 2024.

SUMMARY:

The rule is amended to incorporate by reference the current versions of general industry standards, including FINRA Rule 3110 as amended by SR-FINRA-2024-015 eff. November 26, 2024.

RULEMAKING AUTHORITY:

517.03, 517.1215, 517.1217, FS.

LAW:

517.12, 517.081, 517.1215, 517.1217, 517.161, FS.

PRINT PUBLISH DATE:

6/30/2025 Vol. 51/126

COMMENTS:

From 6/30/2025 To 7/21/2025 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

Ref-15084 13 - 17 C.F.R. part 210 4.1.21
Ref-16476 Securities Exchange Act of 1934 (15 U.S.C. ss. 78a through 78qq) 07-06-23
Ref-16479 SEC Rule 415 (17 C.F.R. 230.415) 4-1-22
Ref-16961 14 - 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) (4-1-23)
Ref-16963 28 - SEC Rule 15c3-3 and Exhibit A (17 C.F.R. §§240.15c3-3 and 240.15c3-3a) (4-1-23 edition)
Ref-16967 42 - FINRA Rule 2000 Series (2010 through 2370) (existing as of 5-7-24)
Ref-16968 43 - FINRA Rule 3000 Series (3110 through 3310) (existing as of 5-7-24)
Ref-16969 44 - FINRA Rule 4000 Series (4110 through 4590) (existing as of 5-7-24)
Ref-16971 46 - FINRA Rule 6000 Series (6110 through 6898) (existing as of 5-7-24)
Ref-16973 47 - FINRA Rule 7000 Series (7110 through 7730) (existing as of 5-7-24)
Ref-16974 48 - FINRA Rule 11000 Series (11100 through 11900) (existing as of 5-8-24)
Ref-16975 49 - MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 (existing as of 10-1-23)

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