Rule: 69W-600.015 Prev Up Next
| Rule Title: Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed) | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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| Division: | Securities | ||
| Chapter: | REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS | ||
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
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Effective Date: | 5/6/2015 |
| History Notes: | Rulemaking Authority 517.03(1), 517.12(9), 517.121(2) FS. Law Implemented 517.12(9), 517.121(2) FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.15, Amended 6-16-92, 10-30-03, 4-8-04, Formerly 3E-600.015, Amended 11-22-10, 9-22-14, Repealed 5-6-15. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
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Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed) | 15917523 |
Effective: 05/06/2015 |
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The Office proposes to repeal current financial reporting rules 69W-300.002 and 69W-600.015 and net capital rule 69W-600.016, to be replaced by proposed new consolidated net capital/financial reporting rules in 69W-600.0151 .... | 15564443 |
1/29/2015 Vol. 41/19 |
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Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, .... December 18, 2014, 1:30 p.m. Room B103, Office of Financial Regulation, 200 East Gaines Street, .... |
15344350 |
12/4/2014 Vol. 40/234 |
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The Office proposes to amend rules 69W-600.0131, .0132, and .014; repeal rules 69W-600.015 and .016, and create new rules 69W-600.0151 and .0161. Rule 600.0131 is proposed to be amended to require Florida state registered .... | 15277032 |
11/24/2014 Vol. 40/228 |
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Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers | 15039964 |
Effective: 09/22/2014 |
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This is the Final Public Hearing on the adoption of proposed amendments to these rules, originally published on May 19, 2014, Vol. 40, No. 97, .... August 19, 2014, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
14896889 |
8/4/2014 Vol. 40/150 |
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Fingerprint Requirements, Rules of Conduct, Prohibited Business Practices for Dealers and Their Associated Persons, Prohibited Business Practices for Investment Advisers and Their Associated Persons, .... | 14666611 |
6/10/2014 Vol. 40/112 |
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The rules are proposed for amendment to: update references to incorporated material; correct cross-references; adopt FINRA 3240 in whole in Rule 69W-600.013 (previously adopted only in part); adopt MSRB Definitional Rules .... | 14550211 |
5/19/2014 Vol. 40/97 |
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The rules are 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 .... | 14449913 |
4/15/2014 Vol. 40/73 |
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2011 Rule Review - Final Report | 12314943 |
11/28/2012 Vol. 38/79 |
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Notice of Publication of Compliance Economic Reviews | 11423610 |
4/27/2012 Vol. 38/17 |
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Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers | 9396795 |
Effective: 11/22/2010 |
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This is the Final Public Hearing on the adoption of proposed amendments to Rules 69W-600.001, .0015, .002, .004, .005, .006, .007, .008, .009, .... October 12, 2010, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
9199788 |
10/1/2010 Vol. 36/39 |
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The rules are amended to reflect the latest versions of materials incorporated by reference in the rules, including federal regulations, federal statutes, forms, Financial Industry Regulatory Authority (FINRA) rules, New .... | 8904423 |
8/20/2010 Vol. 36/33 |
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The rules are amended to update references to materials not included within Florida law, including agency forms, federal statutes, federal regulations, Financial Industry Regulatory Authority (FINRA) forms and rules, New .... | 8074685 |
12/24/2009 Vol. 35/51 |
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Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers | 2865688 |
Effective: 04/08/2004 |
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