Rule: 69W-200.001 Prev Up Next
| Rule Title: Definitions | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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| Division: | Securities | ||
| Chapter: | DEFINITIONS | ||
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
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Effective Date: | 10/1/2024 |
| History Notes: | Rulemaking Authority 517.03(1) FS. Law Implemented 517.07, 517.021, 517.051, 517.061, 517.081, 517.12, 517.161 FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-200.01, Amended 12-8-87, 10-14-90, 7-31-91, 6-16-92, 1-10-93, 5-5-94, 10-20-97, 8-9-98, 8-19-99, 10-30-03, Formerly 3E-200.001, Amended 5-15-07, 9-30-10, 11-11-13, 9-22-14, 11-15-16, 1-18-21, 2-14-23, 3-21-24, 10-1-24. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
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Definitions | 28752369 |
Effective: 10/01/2024 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards, to implement Chapter 2024-168, Laws of Florida, to conform the definition of “development-stage .... | 28541879 |
7/12/2024 Vol. 50/136 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards, to implement Chapter 2024-168, Laws of Florida, to conform the definition of “development-stage .... | 28472039 |
6/20/2024 Vol. 50/121 |
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Definitions | 28116534 |
Effective: 03/21/2024 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards, to include Regulation Best Interest (17 C.F.R. §240.15l-1) as an incorporated industry .... | 27941255 |
1/12/2024 Vol. 50/09 |
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This is a public workshop to discuss the proposed rulemaking of Rules 69W-200.001 and 69W-200.002, Florida Administrative Code. September 26, 2023, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, .... |
27478662 |
9/5/2023 Vol. 49/172 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards, to include Regulation Best Interest (17 C.F.R. §240.15l-1) as an incorporated industry .... | 27425991 |
8/10/2023 Vol. 49/155 |
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Definitions | 26785500 |
Effective: 02/14/2023 |
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This is a public hearing to discuss the proposed rulemaking of Rules 69W-200.001 and 69W-200.002, Florida Administrative Code. December 13, 2022, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, .... |
26599551 |
12/5/2022 Vol. 48/234 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and update cross-references and to clarify the definition of “associated person” as it .... | 26342501 |
9/30/2022 Vol. 48/191 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and update cross-references and to clarify the definition of “associated person” as it .... | 26274698 |
9/12/2022 Vol. 48/177 |
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Definitions | 24064359 |
Effective: 01/18/2021 |
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Definitions, General Industry Standards Incorporated by Reference | 23843005 |
11/4/2020 Vol. 46/216 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and update cross-references and to incorporate by reference SEC Rule 17a-14 (17 C.F.R. .... | 23717681 |
10/2/2020 Vol. 46/193 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and update cross-references and to incorporate by reference SEC Rule 17a-14 (17 C.F.R. .... | 23468682 |
7/28/2020 Vol. 46/146 |
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Definitions | 18220885 |
Effective: 11/15/2016 |
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The rule is proposed to be amended to delete the reference to repealed Rule 69W-600.003(3), F.A.C., and replace it with Rule 69W-600.0024(4)(b), F.A.C. | 17839190 |
8/4/2016 Vol. 42/151 |
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The rule is proposed for amendment to update references to a repealed rule. | 17686318 |
6/24/2016 Vol. 42/123 |
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Definitions | 15033174 |
Effective: 09/22/2014 |
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This is the Final Public Hearing on the adoption of proposed amendments to 69W-200.001 and adoption of proposed new rule 69W-200.002, originally .... August 19, 2014, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
14896501 |
8/4/2014 Vol. 40/150 |
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Definitions | 14718603 |
6/26/2014 Vol. 40/124 |
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The rule is proposed for amendment to: update references to incorporated material; amend the definition of an accredited investor to define it according to federal rule; remove one unused and one duplicative definition; .... | 14545458 |
5/19/2014 Vol. 40/97 |
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69W-200.001 is proposed for amendment to update references to incorporated material. The Office of Financial Regulation proposes to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into a new proposed .... | 14447003 |
4/15/2014 Vol. 40/73 |
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Definitions | 13733083 |
Effective: 11/11/2013 |
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This is the Final Public Hearing on the adoption of proposed amendments to Rule 69W-200.001, F.A.C., published on August 14, 2013, Vol. 39/158, .... September 24, 2013, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee |
13499313 |
9/11/2013 Vol. 39/177 |
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The proposed rule amendment updates a definition to reflect statutory changes in the requirements of certain branch offices conducting securities transactions to notice file with the Office of Financial Regulation rather .... | 13267871 |
8/14/2013 Vol. 39/158 |
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The proposed rule amendment updates a definition to reflect statutory changes in the requirements of certain branch offices conducting securities transactions to notice file with the Office of Financial Regulation rather .... | 13237898 |
7/16/2013 Vol. 39/137 |
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Definitions | 9160891 |
Effective: 09/30/2010 |
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This is the Final Public Hearing on the adoption of proposed amendments to Rule 69W-200.001, F.A.C., published on June 18, 2010, in Vol. 36, .... August 26, 2010, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
8990365 |
8/13/2010 Vol. 36/32 |
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The rule is amended to reflect the most current version of federal regulations and federal statutes referenced in the rule. The rule is also amended to replace references to the National Association of Securities Dealers .... | 8681614 |
6/18/2010 Vol. 36/24 |
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The rule is amended to reflect the most current version of federal regulations and federal statutes referenced in the rule. The rule is also amended to replace references to the National Association of Securities Dealers .... | 8068865 |
12/24/2009 Vol. 35/51 |
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Definitions | 4117570 |
Effective: 05/15/2007 |
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Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law changed the definition of branch office and authorized the .... | 3828122 |
2/23/2007 Vol. 33/08 |
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Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing .... | 3332355 |
12/22/2006 Vol. 32/51 |
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Definitions | 2861808 |
Effective: 10/30/2003 |
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