Rule: 69W-600.0151 Prev Up Next
| Rule Title: Net Capital and Financial Reporting Requirements for Dealers | |||
| 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 11-26-19, 3-3-21, 2-14-23, 3-21-24. | |
| References in this version: |
Ref-15081 SEC Form X-17A-5 11.18 |
| Notice / Adopted |
Description | ID | Publish Date |
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Net Capital and Financial Reporting Requirements for Dealers | 28116243 |
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 Dealers | 26782687 |
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 Dealers and Issuer/Dealers | 24213836 |
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 Dealers and Issuer/Dealers | 22603830 |
Effective: 11/26/2019 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove .... | 22252787 |
8/13/2019 Vol. 45/157 |
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The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove .... | 22020472 |
6/20/2019 Vol. 45/120 |
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Net Capital and Financial Reporting Requirements for Dealers and Issuer/Dealers | 15917620 |
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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