15273734, 69W-300.002 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 15273734

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

APPLICATIONS

Overview

RULE:

69W-300.002

Financial Statements and Reports (Repealed)

PURPOSE:

The Office proposes to repeal current financial reporting rules 69W-300.002 and 69W-600.015 and net capital rule 69W-600.016, to be replaced by proposed new consolidated net capital/financial reporting rules 69W-600.0151 and 69W-600.0161 for dealers/issuer-dealers and investment advisers, respectively. The purpose and effect of these changes are to remove outdated requirements, implement clearer requirements as to financial reporting and calculation of net capital, and improve rule organization by consolidating rules on the same subject while creating separate rules by registration type.

SUBJECT:

Securities Registration

RULEMAKING AUTHORITY:

517.03 FS

LAW:

517.081, 517.12 FS

PRINT PUBLISH DATE:

11/24/2014 Vol. 40/228

RELATED STATUTES
AND LAWS:

517.03 FS, 517.081, 517.12 FS

OVERSIGHT COMMITTEE:

Joint Administrative Procedures Committee
Florida Administrative Law Central Online Network (F.A.L.C.O.N.)

RELATED COURT CASES:

Division of Administrative Hearings

FEDERAL eRULEMAKING
WEB PORTAL:

Regulations.gov

HOW TO LINK TO
THIS NOTICE:

http://flrules.org/gateway/ruleno.asp?id=69W-300.002&PDate=11/24/2014&Section=1

REFERENCE MATERIALS:

No reference(s).

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