|Rule Title: Net Capital Requirements for Dealers and Investment Advisers|
|Department:||DEPARTMENT OF FINANCIAL SERVICES||
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|Chapter:||REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS|
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
|History Notes:||Rulemaking Authority 517.03(1) FS. Law Implemented 517.12(9), (16) FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.16, Amended 10-15-86, 8-1-91, 6-29-93, 11-22-93, Formerly 3E-600.016, Amended 11-22-10.|
|References in this version:||No reference(s).|
|The rules are proposed for amendment to update references to incorporated material. The Office of Financial Regulation proposes to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into a new proposed ....||14449913||
|2011 Rule Review - Final Report||12314943||
|Notice of Publication of Compliance Economic Reviews||11423610||
|Net Capital Requirements for Dealers and Investment Advisers||9396892||
|This is the Final Public Hearing on the adoption of proposed amendments to Rules 69W-600.001, .0015, .002, .004, .005, .006, .007, .008, .009, ....
October 12, 2010, 9:00 a.m., during a regular meeting of the ....
Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
|The rules are amended to reflect the latest versions of materials incorporated by reference in the rules, including federal regulations, federal statutes, forms, Financial Industry Regulatory Authority (FINRA) rules, New ....||8904423||
|The rules are amended to update references to materials not included within Florida law, including agency forms, federal statutes, federal regulations, Financial Industry Regulatory Authority (FINRA) forms and rules, New ....||8074685||
|Net Capital Requirements for Dealers and Investment Advisers||4014071||
|Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing ....||3829868||
|Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing ....||3333034||
|Net Capital Requirements for Dealers and Investment Advisers||2865785||