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Rules Open for Comments
Notice: 15918299
Final Adopted Version in F.A.C.
Department:
DEPARTMENT OF FINANCIAL SERVICES
Division:
Securities
Chapter:
DEFINITIONS
Overview
RULE:
69W-200.002
General Industry Standards Incorporated by Reference
RULE FILE DATE:
4/16/2015
RULE EFFECTIVE DATE:
5/6/2015
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.
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 RULES
AND REGULATIONS:
Electronic Code of Federal Regulations
HOW TO LINK TO
THIS NOTICE:
http://www.flrules.org/gateway/ruleno.asp?id=69W-200.002&Section=0
REFERENCE MATERIALS:
Ref-04516 FINRA Rule 2210 (7-11-14)
Ref-04517 SEC Rule 501(a) of Regulation D (17 C.F.R. § 230.501(a)) (9-23-13)
Ref-04518 SEC Rule 15c3-1 (17 C.F.R. § 240.15c3-1) (7-7-14)
Ref-04519 SEC Rule 206(4)-3 (17 C.F.R. § 275.206(4)-3) (4-1-14 edition)
Ref-04520 NASD Rule 3010 (2-4-13)
Ref-04521 SEC Rule 144A (17 C.F.R. § 230.144A(a)) (9-23-13)
Ref-04522 Regulation S-X (17 C.F.R. Part 210) (4-1-13 edition)
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-04524 Section 15A of the Securities Exchange Act of 1934 (15 U.S.C. §78o-3) (10-1-10)
Ref-04525 Regulation A of the Securities Act of 1933 (17 C.F.R. §§230.251 through 230.263) (4-1-13 edition)
Ref-04526 SEC Rule 144 (17 C.F.R. § 230.144) (4-1-13 edition)
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-04529 Section 4(a)(2) of the Securities Act of 1933 (15 U.S.C. § 77d(a)(2)) (4-5-12)
Ref-04530 SEC Rule 701 (17 C.F.R. 230.701) (4-1-13 edition)
Ref-04531 Section 3(a) of the Securities Act of 1933 (15 U.S.C. §77c(a)) (7-9-12)
Ref-04532 Securities Act of 1933 Section 5 (15 U.S.C. §77e) (4-5-12); Section 6 (15 U.S.C. §77f) (4-5-12); Section 7 (15 U.S.C. §77g) (4-5-12); and Section 8 (15 U.S.C. §77h) (8-22-40)
Ref-04533 SEC Rule 17f-2 (17 C.F.R. § 240.17f-2) (4-1-13 edition)
Ref-04534 SEC Rule 10b-10 (17 CFR § 240.10b-10) (7-7-14)
Ref-04535 SEC Rule 17a-3 (17 CFR § 240.17a-3) (4-1-14 edition)
Ref-04536 Securities Exchange Act of 1934 Section 9 (15 U.S.C. §78i) (2012); Section 10 (15 U.S.C. §78j) (7-16-11); Section 11A (15 U.S.C. §78k-1) (4-5-12); Section 15(c) and 15(g) (15 U.S.C. §78o(c) and 78o(g)) (2012)
Ref-04537 SEC Rule 9b-1 (17 CFR § 240.9b-1) (4-1-14 edition)
Ref-04538 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 CFR §§ 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) (4-1-14 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-04540 SEC Rules 15c2-1, 15c2-4, 15c2-5, 15c2-7, 15c2-8, 15c2-11, and 15c2-12 (17 CFR §§ 240.15c2-1, 240.15c2-4, 240.15c2-5, 240.15c2-7, 240.15c2-8, 240.15c2-11, and 240.15c2-12) (4-1-14 edition)
Ref-04541 SEC Rules 15g-1 through 15g-6, 15g-8, and 15g-9 (17 CFR §§ 240.15g-1 through 240.15g-6, 240.15g-8 and 240.15g-9) (4-1-14 edition)
Ref-04542 Regulation M (17 CFR §242.100 through 242.105) (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-04546 FINRA Rule 2000 Series (2010 through 2370) (existing as of 7-18-14)
Ref-04547 FINRA Rule 3000 Series (only 3130, 3160, and 3220 through 3310) (existing as of 7-18-14)
Ref-04548 FINRA Rule 4000 Series (4110 through 4570) (existing as of 7-18-14)
Ref-04549 FINRA Rule 5000 Series (5110 through 5350) (existing as of 7-18-14)
Ref-04550 FINRA Rule 6000 Series (6110 through 6770) (existing as of 7-18-14)
Ref-04551 FINRA Rule 7000 Series (7110 through 7740) (existing as of 7-18-14)
Ref-04552 NASD Conduct Rule 2000 Series (IM-2210-2 through 2830) (existing as of 7-18-14)
Ref-04553 NASD Conduct Rule 3000 Series (3010 through 3170) (existing as of 7-18-14)
Ref-04554 FINRA Uniform Practice Code Rule 11000 Series (11100 through 11900) (existing as of 7-18-14)
Ref-04555 NYSE Rules 405 (7-14-11), 412 (9-15-08), and 435 (5-29-09)
Ref-04556 Section 2, 3, 4, 5, and 6 of the Securities Act of 1933, (15 U.S.C.A. §§ 77b, 77c, 77d, 77e, and 77f) (4-5-12)
Ref-04557 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) (4-1-13 edition)
Ref-04558 Section 15(b)(4)(E) of the Securities Exchange Act of 1934 (15 U.S.C. § 78o(b)(4)(E)) (2012)
Ref-04559 Regulation SHO, Regulation of Short Sales, (17 C.F.R. §§ 242.200-242.203) (4-1-14 edition)
Ref-04560 Section 15B of the Securities Exchange Act of 1934 (15 U.S.C. § 78o-4) (10-1-10)
Ref-04561 Sections 13 and 15D of the Securities Exchange Act of 1934 (15 U.S.C. §§ 78m (8-10-12) and 78o-6 (4-5-12))
Ref-04562 Sections 204, 204A, 205, 206, 207, 208 of the Investment Advisers Act of 1940 (15 U.S.C.A. §§ 80b-4, 80b-4a, 80b-5, 80b-6, 80b-7, 80b-8) (2012)
Ref-04564 The Investment Advisers Act of 1940 (15 U.S.C. § 80b-1 through 80b-21) (2012)
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-04567 Investment Company Act of 1940 (15 U.S.C. § 80a-1 through 80a-64) (2012)
Ref-04568 SEC Rules 17a-3 and 17a-4 (17 C.F.R. §§ 240.17a-3 and 240.17a-4) (4-1-14 edition)
Ref-04569 SEC Rule 204-2 (17 C.F.R. §275.204-2) (4-1-13 edition)
Ref-04570 SEC Rule 204-3 (17 C.F.R. §275.204-3) (4-1-13 edition)
Ref-04571 SEC Rule 15c3-1 and appendices (17 C.F.R. §240.15c3-1 (7-7-14); 17 C.F.R. §240.15c3-1a (7-7-14); 17 C.F.R. §240.15c3-1b (8-9-84); 17 C.F.R. §240.15c3-1c (12-2-92); 17 C.F.R. §240.15c3-1d (6-5-08); 17 C.F.R. §240.15c3-1e (7-7-14); 17 C.F.R. §240.15c3-1f (7-7-14); 17 C.F.R. §240.15c3-1g (7-7-14))
Ref-04572 17 C.F.R. § 240.17a-11 (6-1-14)
Ref-04573 SEC Rule 15c3-3 and Exhibit A (17 C.F.R. § 240.15c3-3 (4-1-14 edition) and 240.15c3-3a (7-7-14))
Ref-04574 FINRA Rule 1250 (10-17-11)
Ref-04575 NYSE Rule 345A (7-29-03)
Ref-04576 NYSE MKT LLC Rule 341A (11-10-04)
Ref-04577 Section 422 of the Internal Revenue Code (26 U.S.C. §422) (11-5-90)
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-04581 Sections 856, 857 and 858 of the Internal Revenue Code of 1954 (26 U.S.C. §§ 856 (7-30-08), 857 (7-30-08), 858 (11-10-88))
Ref-04582 Securities Exchange Act of 1934 (15 U.S.C. §§ 78a through 78pp) (2012)
Ref-04583 SEC Rule 415 (17 C.F.R. § 230.415) (4-1-13 edition)
Ref-04584 Section 10(a) of the Securities Act of 1933 (15 U.S.C. § 77j(a)) (8-10-54)
Ref-05356 SEC Rules 204-1, 204-3, 205-1, 205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1, 206(4)-3 (4-1-14 ed.)
