69W-200.002 : General Industry Standards Incorporated by Reference - Florida Administrative Rules, Law, Code, Register

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Rule Title: General Industry Standards Incorporated by Reference
Department:	DEPARTMENT OF FINANCIAL SERVICES	Add to MyFLRules Favorites
Division:	Securities
Chapter:	DEFINITIONS

Latest version of the final adopted rule presented in Florida Administrative Code (FAC):

	Effective Date:	9/16/2025
	History Notes:	Rulemaking Authority 517.03(1), 517.1215(2), 517.1217 FS. Law Implemented 517.081, 517.12(4), 517.1215, 517.1217, 517.161(1) FS. History–New 9-22-14, Amended 5-6-15, 11-26-19, 1-18-21, 2-14-23, 3-21-24, 10-1-24, 9-16-25.
	References in this version:	Ref-04523 SEC Rules 17a-5 (17 C.F.R. § 240.17a-5) (6-1-14) and 17a-10 (17 C.F.R. § 240.17a-10) (12-9-81) Ref-04527 Section 642(c)(5) of the Internal Revenue Code of 1954 (26 U.S.C. §642(c)(5)) (1-23-02) Ref-04528 Regulation S (17 C.F.R. §§ 230.901 through 230.905) (4-1-13 edition) Ref-04533 SEC Rule 17f-2 (17 C.F.R. § 240.17f-2) (4-1-13 edition) Ref-04537 SEC Rule 9b-1 (17 CFR § 240.9b-1) (4-1-14 edition) Ref-04539 SEC Rules 15c1-1 through 15c1-3 and 15c1-5 through 15c1-9 (17 CFR §§ 240.15c1-1 through 240.15c1-3 and 240.15c1-5 through 240.15c1-9) (4-1-14 edition) Ref-04543 SEC Rule 601 (17 C.F.R. § 242.601) (4-1-14 edition) Ref-04544 Regulation T, Credit by Brokers and Dealers, (12 C.F.R. §§ 220.1 through 220.12, 220.101, 220.103, 220.105, 220.108, 220.110, 220.111, 220.113, 220.117, 220.118, 220.119, 220.121, 220.122, 220.123, 220.124, 220.127, 220.128, 220.131, 220.132); and 12 C.F.R. § 221.125 of Regulation U (1-1-13 edition) Ref-04545 SEC Rule 8c-1, (17 C.F.R. § 240.8c-1) (4-1-14 edition) Ref-04565 National Securities Markets Improvement Act of 1996 (Pub. L. 104-290) (10-11-96) Ref-04566 Section 4f(a) of the Commodity Exchange Act (7 U.S.C. § 6f) (2012) Ref-04578 Employee Retirement Income Security Act of 1974 (Pub.L. 93-406) (4-7-14) Ref-04579 Section 501(c)(3) of the Internal Revenue Code (26 U.S.C. §501(c)(3)) (3-30-10) Ref-04580 SEC Rule 15a-6(b)(4)(i) (17 C.F.R. §240.15a-6) (4-1-14 edition) Ref-11286 Section 422 of the Internal Revenue Code (26 U.S.C. §422) (4-2-19) Ref-11287 Sections 856, 857 and 858 of the Internal Revenue Code of 1954 (26 U.S.C. §§856 through 858) (3-11-19) Ref-12528 17 CFR 230.701 Ref-12530 17 CFR 15c3-1 and appendices Ref-12532 17 CFR 17a-11 and 17a-14 Ref-15086 15 - 17 C.F.R. 230.144A 4.1.21 Ref-15087 16 - 17 C.F.R. Regulation A 4.1.21 Ref-15089 18 - 17 C.F.R. 230.501 4.1.21 Ref-15090 26- 17 C.F.R. 240.15c2-1 through c2-12 4.1.21 Ref-15092 29 - 17 C.F.R. 240.15g-1 through 240.15g-9 Ref-16475 Investment Company Act of 1940 (15 U.S.C. ss. 80a-1 through 80a-64) 07-06-23 Ref-16478 The Investment Advisers Act of 1940 (15 U.S.C. ss. 80b-1 through 80b-21) 07-06-23 Ref-16482 Regulation Best Interest (17 CFR 240.15l-1) 4-1-22 Ref-16483 SEC Rules 17a-3 and 17a-4 (17 C.F.R. ss. 240.17a-3 and 240.17a-4) as amended Ref-16962 23 - SEC Rules 10b-1, 10b-3, 10b-5, 10b5-1, 10b5-2, 10b-9, 10b-10, 10b-16, 10b-17, 10b-18, and 10b-21 (17 C.F.R. §§240.10b-1, 240.10b-3, 240.10b-5, 240.10b5-1, 240.10b5-2, 240.10b-9, 240.10b-10, 240.10b-16, 240.10b-17, 240.10b-18, and 240.10b-21) (4-1-23 edition) Ref-16965 39 - SEC Rules 204-1, 204-2, 204-3, 205-1, 205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1 (17 C.F.R. §§275.204-1; 275.204-2; 275.204-3; 275.205-1; 275.205-2; 275.205-3; 275.206(3)-1; 275.206(3)-2; 275.206(4)-1 (4-1-23 edition) Ref-16966 41 - FINRA Rules 1020 and 1240 (existing as of 5-7-24) Ref-18239 Sections 2 3 4 5 6 7 8 and 10(a) of the Securities Act of 1933 (15 U.S.C. ss. 77b 77c 77d 77e 77f 77g 77h and 77j) (2-14-25) Ref-18240 Securities Exchange Act of 1934 (15 U.S.C. ss. 78a through 78qq) (2-14-25) Ref-18241 Regulation S-X (17 C.F.R. Part 210) (4-1-24) Ref-18242 SEC Rules 134, 134a, 135a, 144, 156, 419, 481 and 482, (17 C.F.R. §§230.134, 230.134a, 230.135a, 230.144, 230.156, 230.419, 230.481 and 230.482) (4-1-24) Ref-18243 SEC Rule 415 (17 C.F.R. §230.415) (4-1-24) Ref-18375 SEC Rule 15c3-3 and Exhibit A (17 C.F.R. §§240.15c3-3 and 240.15c3-3a) (4-1-24 edition) Ref-18376 Regulation M (17 C.F.R. §§242.100 through 242.105) (4-1-24 edition) Ref-18377 Regulation SHO (17 C.F.R. ss.242.200-242.203) (4-1-24 edition) Ref-18378 Regulation S-P §248.30 (17 C.F.R. §248.30) (4-1-24 edition) Ref-18379 FINRA Rule 2000 Series 2.17.25 Ref-18380 FINRA Rule 3000 Series 2.17.25 Ref-18381 FINRA Rule 4000 Series 2.17.25 Ref-18382 FINRA Rule 5000 Series 2.17.25 Ref-18400 FINRA Rule 6000 Series 2.17.25 Ref-18401 FINRA Rule 11000 Series 2.18.25 Ref-18402 MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 (existing as of 10-1-24) Ref-18403 FINRA Rule 7000 Series 2.18.25

History of this Rule since Jan. 6, 2006

Section	Description	ID	Publish Date

Development 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.”....	30695376	3/26/2026 Vol. 52/59
Final 69W-200.002	General Industry Standards Incorporated by Reference	29935963	Effective: 09/16/2025
Correction 69W-200.002	General Industry Standards Incorporated by Reference	29886202	8/18/2025 Vol. 51/160
Correction 69W-200.002	General Industry Standards Incorporated by Reference	29824316	7/30/2025 Vol. 51/147
Proposed 69W-200.002	The purpose and effect is to amend the existing rule to incorporate by reference the current versions of general industry standards, including FINRA Rule 3110 as amended by SR-FINRA-2024-015 eff. November 26, 2024.	29726249	6/30/2025 Vol. 51/126
Development 69W-200.002	The purpose and effect is to amend the existing rule to incorporate by reference the current versions of general industry standards, including FINRA Rule 3110 as amended by SR-FINRA-2024-015 eff. November 26, 2024.	29160642	1/16/2025 Vol. 51/11
Final 69W-200.002	General Industry Standards Incorporated by Reference	28752466	Effective: 10/01/2024
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, to implement Chapter 2024-168, Laws of Florida, to conform the definition of “development-stage ....	28541879	7/12/2024 Vol. 50/136
Development 69W-200.001 ......	The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards, to implement Chapter 2024-168, Laws of Florida, to conform the definition of “development-stage ....	28472039	6/20/2024 Vol. 50/121
Final 69W-200.002	General Industry Standards Incorporated by Reference	28116631	Effective: 03/21/2024
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, to include Regulation Best Interest (17 C.F.R. §240.15l-1) as an incorporated industry ....	27941255	1/12/2024 Vol. 50/09
Workshop 69W-200.001 ......	This is a public workshop to discuss the proposed rulemaking of Rules 69W-200.001 and 69W-200.002, Florida Administrative Code. September 26, 2023, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, ....	27478662	9/5/2023 Vol. 49/172
Development 69W-200.001 ......	The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards, to include Regulation Best Interest (17 C.F.R. §240.15l-1) as an incorporated industry ....	27425991	8/10/2023 Vol. 49/155
Final 69W-200.002	General Industry Standards Incorporated by Reference	26765906	Effective: 02/14/2023
Public Hearing 69W-200.001 ......	This is a public hearing to discuss the proposed rulemaking of Rules 69W-200.001 and 69W-200.002, Florida Administrative Code. December 13, 2022, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, ....	26599551	12/5/2022 Vol. 48/234
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 update cross-references and to clarify the definition of “associated person” as it ....	26342501	9/30/2022 Vol. 48/191
Development 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 update cross-references and to clarify the definition of “associated person” as it ....	26274698	9/12/2022 Vol. 48/177
Final 69W-200.002	General Industry Standards Incorporated by Reference	24064456	Effective: 01/18/2021
Change 69W-200.002	General Industry Standards Incorporated by Reference	23843102	11/4/2020 Vol. 46/216
Correction 69W-200.001 ......	Definitions, General Industry Standards Incorporated by Reference	23843005	11/4/2020 Vol. 46/216
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 update cross-references and to incorporate by reference SEC Rule 17a-14 (17 C.F.R. ....	23717681	10/2/2020 Vol. 46/193
Development 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 update cross-references and to incorporate by reference SEC Rule 17a-14 (17 C.F.R. ....	23468682	7/28/2020 Vol. 46/146
Final 69W-200.002	General Industry Standards Incorporated by Reference	22601987	Effective: 11/26/2019
Change 69W-200.002	General Industry Standards Incorporated by Reference	22397220	9/19/2019 Vol. 45/183
Proposed 69W-200.002	The purpose and effect is to amend the existing rule to incorporate by reference the current versions of general industry standards and to incorporate one new material by reference, Regulation S-P § 248.30 (17 C.F.R. §248.30) ....	22251623	8/13/2019 Vol. 45/157
Development 69W-200.002	The purpose and effect is to amend the existing rule to incorporate by reference the current versions of general industry standards and to incorporate one new material by reference, Regulation S-P § 248.30 (17 C.F.R. §248.30) ....	22020181	6/20/2019 Vol. 45/120
Final 69W-200.002	General Industry Standards Incorporated by Reference	15918299	Effective: 05/06/2015
Change 69W-200.002	General Industry Standards Incorporated by Reference	15706354	3/5/2015 Vol. 41/44
Proposed 69W-200.002	This rule is proposed to be amended to incorporate one new material by reference, SEC Rule 204-1 (17 C.F.R. 275.204-1), to be referenced in Rule 69W-600.0131, F.A.C. The effect of this incorporation is to require state ....	15562891	1/29/2015 Vol. 41/19
Workshop 69W-200.002	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, ....	15343865	12/4/2014 Vol. 40/234
Development 69W-200.002	This rule is proposed to be amended to incorporate two new materials by reference (SEC Rules 204-1 and 206(4)-7), proposed to be referenced in Rule 69W-600.0131(1)(a), F.A.C. These SEC rules require federal investment advisers, ....	15273443	11/24/2014 Vol. 40/228
Final 69W-200.002	General Industry Standards Incorporated by Reference	15033271	Effective: 09/22/2014
Public Meeting 69W-200.001 ......	This is the Final Public Hearing on the adoption of proposed amendments to 69W-200.001 and adoption of proposed new rule 69W-200.002, originally .... August 19, 2014, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....	14896501	8/4/2014 Vol. 40/150
Change 69W-200.002	General Industry Standards Incorporated by Reference	14786018	7/25/2014 Vol. 40/144
Proposed 69W-200.002	The Office of Financial Regulation (OFR) proposes to adopt new rule 69W-200.002 to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into this rule. The proposed new rule will conform with Section ....	14545846	5/19/2014 Vol. 40/97
Development 69W-200.001 ......	69W-200.001 is proposed for amendment to update references to incorporated material. The Office of Financial Regulation proposes to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into a new proposed ....	14447003	4/15/2014 Vol. 40/73

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