22020181, 69W-200.002 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 22020181

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

DEFINITIONS

Overview

RULE:

69W-200.002

General Industry Standards Incorporated by Reference

PURPOSE:

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) (4-1-18 edition). Brokers, dealers, and federally covered advisers are already required to comply with Regulation S-P §248.30 which requires the adoption of written policies and procedures that address administrative, technical, and physical safeguards for the protection of customer records and information. Additionally, the proposed amendment reorders the rule and deletes duplicative provisions to improve organization.

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:

6/20/2019 Vol. 45/120

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-200.002&PDate=6/20/2019&Section=1

REFERENCE MATERIALS:

No reference(s).

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