Florida Department of State and Division of Library and Information Services

Reference: Ref-16483

Reference Name: SEC Rules 17a-3 and 17a-4 (17 C.F.R. ss. 240.17a-3 and 240.17a-4) as amended
Agency: 69 Department of Financial Services
69W Securities

Modified Document(s): No Modified document(s).
Adopted Document(s):
2/26/2024 SEC Rules 17a-3 and 17a-4 (17 C.F.R. ss. 240.17a-3 and 240.17a-4) as amended
Proposed Document(s):
2/21/2024 SEC Rules 17a-3 and 17a-4 (17 C.F.R. ss. 240.17a-3 and 240.17a-4) as amended
Description: SEC Rules 17a-3 and 17a-4 (17 C.F.R. ss. 240.17a-3 and 240.17a-4) as amended

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 29935963 Effective:
09/16/2025
View Text Final
69W-200.002 		General Industry Standards Incorporated by Reference 28752466 Effective:
10/01/2024
View Text Final
69W-200.002 		General Industry Standards Incorporated by Reference 28116631 Effective:
03/21/2024



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