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 |
| Original Document(s): |
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| Modified Document(s): | No Modified document(s). | |||||
| 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 |
Description | ID | Publish Date |
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|---|---|---|---|---|
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General Industry Standards Incorporated by Reference | 22601987 |
Effective: 11/26/2019 |
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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 |
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General Industry Standards Incorporated by Reference | 15918299 |
Effective: 05/06/2015 |
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General Industry Standards Incorporated by Reference | 15033271 |
Effective: 09/22/2014 |
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