14449913, 69W-600.006 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 14449913

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.006	Fingerprint Requirements (Repealed)
69W-600.012	Rules of Conduct
69W-600.013	Prohibited Business Practices for Dealers and Their Associated Persons
69W-600.0131	Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.0132	Custody Requirements for Investment Advisers
69W-600.0133	Use of Senior - Specific Certifications or Senior-Specific Professional Designations by Associated Persons and Investment Advisers
69W-600.014	Books and Records Requirements
69W-600.015	Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed)
69W-600.016	Net Capital Requirements for Dealers and Investment Advisers (Repealed)
69W-600.017	Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
69W-600.020	Continuing Education Requirements (Repealed)

PURPOSE:

The rules are 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 rule 69W-200.002, F.A.C. that conforms with Section 120.54(1)(i), F.S. The proposed amendments would reference 69W-200.002, F.A.C., where the material can be accessed via the FAR.

SUBJECT:

Securities Regulation

RULEMAKING AUTHORITY:

517.03(1), 517.1215(2), 517.1217 FS.

LAW:

517.081, 517.12(4), 517.1215, 517.1217, 517.161(1) FS.

PRINT PUBLISH DATE:

4/15/2014 Vol. 40/73

RELATED STATUTES
AND LAWS:

517.03(1), 517.1215(2), 517.1217 FS., 517.081, 517.12(4), 517.1215, 517.1217, 517.161(1) 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://www.flrules.org/gateway/ruleno.asp?id=69W-600.006&PDate=4/15/2014&Section=1

REFERENCE MATERIALS:

No reference(s).

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