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Rules Open for Comments
Notice: 22601987
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:
11/6/2019
RULE EFFECTIVE DATE:
11/26/2019
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.
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-04521 SEC Rule 144A (17 C.F.R. § 230.144A(a)) (9-23-13)
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-04530 SEC Rule 701 (17 C.F.R. 230.701) (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-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-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-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-04559 Regulation SHO, Regulation of Short Sales, (17 C.F.R. §§ 242.200-242.203) (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-04568 SEC Rules 17a-3 and 17a-4 (17 C.F.R. §§ 240.17a-3 and 240.17a-4) (4-1-14 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-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-11282 Sections 2, 3, 4, 5, 6, 7, 8, and 10(a) of the Securities Act of 1933, (15 U.S.C. §§77b, 77c, 77d, 77e, 77f, 77g, 77h, and 77j) (6-4-19)
Ref-11283 Securities Exchange Act of 1934 (15 U.S.C. §§78a through 78qq) (4-3-19)
Ref-11284 Investment Company Act of 1940 (15 U.S.C. §§80a-1 through 80a-64) (4-3-19)
Ref-11285 The Investment Advisers Act of 1940 (15 U.S.C. §§80b-1 through 80b-21) (3-11-19)
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-11288 Regulation S-X (17 C.F.R. Part 210) (4-1-18 edition)
Ref-11289 Regulation A (17 C.F.R. §§230.251 through 230.263) (4-1-18 edition)
Ref-11290 SEC Rule 415 (17 C.F.R. §230.415) (4-1-18 edition)
Ref-11291 SEC Rule 501(a) of Regulation D (17 C.F.R. §230.501(a)) (4-1-18 Edition)
Ref-11292 SEC Rules 15c2-1, 15c2-4, 15c2-5, 15c2-7, 15c2-8, 15c2-11, and 15c2-12 (17 C.F.R. §§240.15c2-1, 240.15c2-4, 240.15c2-5, 240.15c2-7, 240.15c2-8, 240.15c2-11, and 240.15c2-12) (4-1-18 edition)
Ref-11293 SEC Rules 15g-1 through 15g-6, 15g-8, and 15g-9 (17 C.F.R. §§240.15g-1 through 240.15g-6, 240.15g-8 and 240.15g-9) (4-1-18 edition)
Ref-11294 Regulation S-P §248.30 (17 C.F.R. §248.30) (4-1-18 edition)
Ref-11295 SEC Rules 204-1, 204-2, 204-3, 205-1, 205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1, 206(4)-3 (17 C.F.R. §275.204-1; 17 C.F.R. §275.204-2; 17 C.F.R. §275.204-3; 17 C.F.R. §275.205-1; 17 C.F.R. §275.205-2; 17 C.F.R. §275.205-3; 17 C.F.R. §275.206(3)-1; 17 C.F.R. §275.206(3)-2; 17 C.F.R. §275.206(4)-1; 17 C.F.R. §275.206(4)-3) (4-1-18 edition)
Ref-11296 FINRA Rule 1240 (existing as of 2-22-19)
Ref-11297 FINRA Rule 2000 Series (2010 through 2370) (existing as of 3-8-19)
Ref-11298 FINRA Rule 3000 Series (3110 through 3310) (existing as of 3-8-19)
Ref-11299 FINRA Rule 4000 Series (4110 through 4590) (existing as of 3-8-19)
Ref-11300 FINRA Rule 5000 Series (5110 through 5350) (existing as of 3-8-19)
Ref-11301 FINRA Rule 6000 Series (6110 through 6898) (existing as of 3-8-19)
Ref-11302 FINRA Rule 7000 Series (7110 through 7730) (existing as of 3-8-19)
Ref-11303 FINRA Rule 11000 Series (11100 through 11900) (existing as of 3-8-19)
Ref-11304 NASD Conduct Rules 2340 and 2510 (existing as of 3-8-19)
Ref-11305 NASD Conduct Rules 3140, 3150, and IM-3150 (existing as of 3-8-19)
Ref-11306 MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 (existing as of 10-1-18)
