Florida Department of State and Division of Library and Information Services

Reference: Ref-04571

Reference Name: SEC Rule 15c3-1 and appendices (17 C.F.R. §240.15c3-1 (7-7-14); 17 C.F.R. §240.15c3-1a (7-7-14); 17 C.F.R. §240.15c3-1b (8-9-84); 17 C.F.R. §240.15c3-1c (12-2-92); 17 C.F.R. §240.15c3-1d (6-5-08); 17 C.F.R. §240.15c3-1e (7-7-14); 17 C.F.R. §240.15c3-1f (7-7-14); 17 C.F.R. §240.15c3-1g (7-7-14))
Agency: 69 Department of Financial Services
69W Securities

Modified Document(s): No Modified document(s).
Adopted Document(s):
8/20/2014 Incorporated by reference in Rule 69W-200.002, F.A.C.
Proposed Document(s):
8/20/2014 Incorporated by reference in Rule 69W-200.002, F.A.C.
Description: Incorporated by reference in Rule 69W-200.002, F.A.C.

Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.

Rules/Notices using this Reference Material
Notice /
Adopted		 Section Description ID Publish
Date
View Text Final
69W-200.002 		General Industry Standards Incorporated by Reference 22601987 Effective:
11/26/2019
View Text Proposed
69W-200.002 		The purpose and effect is to amend the existing rule to incorporate by reference the current versions of general industry standards and to incorporate one new material by reference, Regulation S-P § 248.30 (17 C.F.R. §248.30) .... 22251623 8/13/2019
Vol. 45/157
View Text Final
69W-200.002 		General Industry Standards Incorporated by Reference 15918299 Effective:
05/06/2015
View Text Final
69W-200.002 		General Industry Standards Incorporated by Reference 15033271 Effective:
09/22/2014



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