Florida Department of State and Division of Library and Information Services
Notice: 24064456
Final Adopted Version in F.A.C.
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: DEFINITIONS

VIEW NOTICE

Overview
RULE:
69W-200.002   General Industry Standards Incorporated by Reference
RULE FILE DATE: 12/29/2020
RULE EFFECTIVE DATE: 1/18/2021
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, 1-18-21.
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-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-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-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-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-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-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-12527 17 CFR 230.251-230.263
Ref-12528 17 CFR 230.701
Ref-12529 17 CFR 15c2-1, 15c2-4, 15c2-5, 15c2-7, 15c2-8, 15c2-11, 15c2-12
Ref-12530 17 CFR 15c3-1 and appendices
Ref-12531 17 CFR 17a-3 and 17a-4
Ref-12532 17 CFR 17a-11 and 17a-14
Ref-12533 17 CFR 242.100-242.105
Ref-12534 17 CFR 242.200-242.203
Ref-12535 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
Ref-12537 FINRA Rules 1020 and 1240 as of 6.26.20
Ref-12540 FINRA Rule 2000 Series as of 6.24.20
Ref-12541 FINRA Rule 3000 Series as of 6.24.20
Ref-12542 FINRA Rule 4000 Series as of 6.24.20
Ref-12543 FINRA Rule 5000 Series as of 6.24.20
Ref-12544 FINRA Rule 6000 Series as of 6.25.20
Ref-12545 FINRA Rule 7000 Series as of 6.25.20
Ref-12546 FINRA Rule 11000 Series as of 6.26.20
Ref-12547 MSRB Rule Book 10.1.19


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