Rule: 69W-600.016 Prev   Up   Next

Rule Title: Net Capital Requirements for Dealers and Investment Advisers
Department: DEPARTMENT OF FINANCIAL SERVICES    Add to MyFLRules Favorites
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Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Latest version of the final adopted rule presented in Florida Administrative Code (FAC):

VIEW_RULE Effective Date: 11/22/2010
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).
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Development
69W-600.006
......
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 4/15/2014
Vol. 40/73
View Text Misc
69W-600.0132
......
2011 Rule Review - Final Report 12314943 11/28/2012
Vol. 38/79
View Text Misc
69W-600.0132
......
Notice of Publication of Compliance Economic Reviews 11423610 4/27/2012
Vol. 38/17
View Text Final
69W-600.016
Net Capital Requirements for Dealers and Investment Advisers 9396892 Effective:
11/22/2010
View Text Public Hearing
69W-600.001
......
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, ....
9199788 10/1/2010
Vol. 36/39
View Text Proposed
69W-600.001
......
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 8/20/2010
Vol. 36/33
View Text Development
69W-600.001
......
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 12/24/2009
Vol. 35/51
View Text Withdrawal
69W-600.016
Net Capital Requirements for Dealers and Investment Advisers 4014071 4/20/2007
Vol. 33/16
View Text Proposed
69W-600.001
......
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 2/23/2007
Vol. 33/08
View Text Development
69W-600.001
......
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 12/22/2006
Vol. 32/51
View Text Final
69W-600.016
Net Capital Requirements for Dealers and Investment Advisers 2865785 Effective:
11/22/1993