Florida Department of State and Division of Library and Information Services
Notice: 31490970
Notice of Proposed Rule
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: DEFINITIONS

VIEW NOTICE

Overview
RULE:
69W-200.001   Definitions
69W-200.002   General Industry Standards Incorporated by Reference
RULEMAKING AUTHORITY: 517.03, 517.1215, 517.1217, FS.
LAW: 517.07, 517.12, 517.021, 517.051, 517.061, 517.081, 517.1215, 517.1217, 517.161, FS.
PRINT PUBLISH DATE: 10/13/2026   Vol. 52/199
COMMENTS: From 10/13/2026 To 11/3/2026 (21 Days)
Send a one-time comment to the Agency.
Communicate with the Agency with saved comments and agency replies.

Comments submitted through FLRules.org shall be 8000 characters or less. Comments that exceed the character limit should be submitted directly to the agency pursuant the instructions in the Notice of Proposed Rule. The submitter is responsible for ensuring that the agency has received the comment.
REFERENCE MATERIALS: Ref-20277 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), 2-25-26
Ref-20278 Investment Company Act of 1940 (15 U.S.C. §§80a-1 through 80a-64) 2-25-26
Ref-20279 The Investment Advisers Act of 1940 (15 U.S.C. §§80b-1 through 80b-21) 2-25-26
Ref-20280 Sections 856, 857 and 858 of the Internal Revenue Code of 1954 (26 U.S.C. §§856 through 858) 2-25-26
Ref-20281 Regulation S-X (17 C.F.R. Part 210) 4-1-25
Ref-20282 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) 4-1-25
Ref-20283 SEC Rule 501(a) of Regulation D (17 C.F.R. §230.501(a)) 4-1-25
Ref-20284 SEC Rule 15c3-1 and appendices (17 C.F.R. §§240.15c3-1; 240.15c3-1a; 240.15c3-1b; 240.15c3-1c; 240.15c3-1d; 240.15c3-1e; 240.15c3-1f; 240.15c3-1g) 4-1-25
Ref-20285 SEC Rule 15c3-3 and Exhibit A (17 C.F.R. §§240.15c3-3 and 240.15c3-3a) 4-1-25
Ref-20286 SEC Rules 17a-3 and 17a-4 (17 C.F.R. §§240.17a-3 and 240.17a-4) 4-1-25
Ref-20287 SEC Rules 17a-5 and 17a-10 (17 C.F.R. §§240.17a-5 and 240.17a-10) 4-1-25
Ref-20288 Regulation S-P §248.30 (17 C.F.R. §248.30) 4-1-25
Ref-20289 SEC Rules 204-1, 204-2, 204-3, 205-1, 205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1 (17 C.F.R. §§275.204-1; 275.204-2; 275.204-3; 275.205-1; 275.205-2; 275.205-3; 275.206(3)-1; 275.206(3)-2; 275.206(4)-1 4-1-25
Ref-20291 FINRA Rule 2000 Series (2010 through 2370) (existing as of 2-25-26)
Ref-20293 FINRA Rule 3000 Series (3110 through 3310) (existing as of 2-25-26)
Ref-20294 FINRA Rule 4000 Series (4110 through 4590) (existing as of 2-25-26)
Ref-20295 FINRA Rule 5000 Series (5110 through 5350) (existing as of 2-25-26)
Ref-20296 FINRA Rule 6000 Series (6110 through 6898) (existing as of 2-25-26)
Ref-20297 FINRA Rule 7000 Series (7110 through 7730) (existing as of 2-25-26)
Ref-20298 FINRA Rule 11000 Series (11100 through 11900) (existing as of 2-25-26)
Ref-20299 MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 (existing as of 10-1-25)
Ref-20300 Securities Exchange Act of 1934 (15 U.S.C. §§78a through 78qq), 2-25-26


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