Florida Department of State and Division of Library and Information Services

Reference: Ref-20294

Reference Name: FINRA Rule 4000 Series (4110 through 4590) (existing as of 2-25-26)
Agency: 69 Department of Financial Services
69W Securities

Modified Document(s): No Modified document(s).
Adopted Document(s): No Adopted document(s).
Proposed Document(s):
10/7/2026 FINRA Rule 4000 Series (4110 through 4590) (existing as of 2-25-26)
Description: FINRA Rule 4000 Series (4110 through 4590) (existing as of 2-25-26)

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 Proposed
69W-200.001
...... 		The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and to delete the definitions of “Bona Fide Employee” and “Qualified Institutional Buyer.”.... 31490970 10/13/2026
Vol. 52/199



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