24000242, 69W-600.0151 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 24000242

Notice of Proposed Rule

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Overview

RULE:

69W-600.0151	Net Capital and Financial Reporting Requirements for Dealers
69W-600.0161	Net Capital and Financial Reporting Requirements for Investment Advisers

PURPOSE:

The purpose and effect is to amend the existing rules to require financial statements filed with the Office of Financial Regulation pursuant to the financial reporting requirements of the above-referenced rules to be filed by electronic means.

SUMMARY:

The proposed amended rules require dealers, issuer/dealers, and investment advisers to file financial statements with the Office of Financial Regulation by electronic means. Registrants who filed their original application through the Regulatory Enforcement and Licensing System (REAL system) shall file the documents required by this subsection through the REAL system. All other registrants shall file the documents required by this subsection via email at: OFR.FinStmt@flofr.com.

RULEMAKING AUTHORITY:

517.03(1), 517.12(9), 517.121, FS.

LAW:

517.12(9), 517.121(2), 517.161(1), 517.201, FS.

PRINT PUBLISH DATE:

12/18/2020 Vol. 46/245

COMMENTS:

From 12/18/2020 To 1/8/2021 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

No reference(s).

Under Florida law, E-mail addresses are public records. If you do not want your E-mail address released in response to a public records request, do not send electronic mail to this entity. Instead, contact this office by phone or in writing.