Rule: 69W-600.0161 Prev Up Next
| Rule Title: Net Capital and Financial Reporting Requirements for Investment Advisers | |||
| 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: | 3/21/2024 |
| History Notes: | Rulemaking Authority 517.03(1), 517.12(8), 517.121(2) FS. Law Implemented 517.12(8), 517.121(2), 517.161(1), 517.201 FS. History–New 5-6-15, Amended 3-3-21, 2-14-23, 3-21-24. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
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Net Capital and Financial Reporting Requirements for Investment Advisers | 28116340 |
Effective: 03/21/2024 |
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The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27941934 |
1/17/2024 Vol. 50/11 |
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The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27426282 |
8/11/2023 Vol. 49/156 |
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Net Capital and Financial Reporting Requirements for Investment Advisers | 26782784 |
Effective: 02/14/2023 |
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This is a public hearing to discuss the proposed rulemaking of Rules 69W-600.001, 69W-600.0011, 69W-600.0012, 69W-600.0013, 69W-600.0016, 69W-600.002, .... December 13, 2022, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, .... |
26599066 |
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 version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26344344 |
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 version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26274795 |
9/12/2022 Vol. 48/177 |
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Net Capital and Financial Reporting Requirements for Investment Advisers | 24213933 |
Effective: 03/03/2021 |
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The purpose and effect is to amend the existing rules to require financial statements filed with the Office of Financial Regulation pursuant to the financial reporting requirements of the above-referenced rules to be filed .... | 24000242 |
12/18/2020 Vol. 46/245 |
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The purpose and effect is to amend the existing rules to require financial statements filed with the Office of Financial Regulation pursuant to the financial reporting requirements of the above-referenced rules to be filed .... | 23956592 |
12/4/2020 Vol. 46/235 |
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Net Capital and Financial Reporting Requirements for Investment Advisers | 15917814 |
Effective: 05/06/2015 |
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Net Capital and Financial Reporting Requirements for Dealers and Issuer/Dealers, Net Capital and Financial Reporting Requirements for Investment Advisers | 15707518 |
3/5/2015 Vol. 41/44 |
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The Office proposes to replace current financial reporting rules 69W-300.002 and 69W-600.015 and current net capital rule 69W-600.016 with new consolidated net capital/financial reporting rules 69W-600.0151 and 69W-600.0161 .... | 15564540 |
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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