23956592, 69W-600.0151 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 23956592

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.0151	Net Capital and Financial Reporting Requirements for Dealers
69W-600.0161	Net Capital and Financial Reporting Requirements for Investment Advisers

PURPOSE:

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 by electronic means.

SUBJECT:

Securities Regulation

RULEMAKING AUTHORITY:

517.03(1), 517.12(9), 517.121, FS.

LAW:

517.12(9), 517.121(2), 517.161(1), 517.201, F.S.

PRINT PUBLISH DATE:

12/4/2020 Vol. 46/235

RELATED STATUTES
AND LAWS:

517.03(1), 517.12(9), 517.121, FS., 517.12(9), 517.121(2), 517.161(1), 517.201, F.S.

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-600.0151&PDate=12/4/2020&Section=1

REFERENCE MATERIALS:

No reference(s).

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