69W-200.001 : Definitions - Florida Administrative Rules, Law, Code, Register

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Rule: 69W-200.001 Prev Up Next

Rule Title: Definitions
Department:	DEPARTMENT OF FINANCIAL SERVICES	Add to MyFLRules Favorites
Division:	Securities
Chapter:	DEFINITIONS

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

	Effective Date:	3/21/2024
	History Notes:	Rulemaking Authority 517.03(1) FS. Law Implemented 517.07, 517.12, 517.021, 517.051, 517.061, 517.081, 517.161 FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-200.01, Amended 12-8-87, 10-14-90, 7-31-91, 6-16-92, 1-10-93, 5-5-94, 10-20-97, 8-9-98, 8-19-99, 10-30-03, Formerly 3E-200.001, Amended 5-15-07, 9-30-10, 11-11-13, 9-22-14, 11-15-16, 1-18-21, 2-14-23, 3-21-24.
	References in this version:	No reference(s).

History of this Rule since Jan. 6, 2006

Section	Description	ID	Publish Date

Final 69W-200.001	Definitions	28116534	Effective: 03/21/2024
Proposed 69W-200.001 ......	The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards, to include Regulation Best Interest (17 C.F.R. §240.15l-1) as an incorporated industry ....	27941255	1/12/2024 Vol. 50/09
Workshop 69W-200.001 ......	This is a public workshop to discuss the proposed rulemaking of Rules 69W-200.001 and 69W-200.002, Florida Administrative Code. September 26, 2023, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, ....	27478662	9/5/2023 Vol. 49/172
Development 69W-200.001 ......	The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards, to include Regulation Best Interest (17 C.F.R. §240.15l-1) as an incorporated industry ....	27425991	8/10/2023 Vol. 49/155
Final 69W-200.001	Definitions	26785500	Effective: 02/14/2023
Public Hearing 69W-200.001 ......	This is a public hearing to discuss the proposed rulemaking of Rules 69W-200.001 and 69W-200.002, Florida Administrative Code. December 13, 2022, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, ....	26599551	12/5/2022 Vol. 48/234
Proposed 69W-200.001 ......	The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and update cross-references and to clarify the definition of “associated person” as it ....	26342501	9/30/2022 Vol. 48/191
Development 69W-200.001 ......	The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and update cross-references and to clarify the definition of “associated person” as it ....	26274698	9/12/2022 Vol. 48/177
Final 69W-200.001	Definitions	24064359	Effective: 01/18/2021
Correction 69W-200.001 ......	Definitions, General Industry Standards Incorporated by Reference	23843005	11/4/2020 Vol. 46/216
Proposed 69W-200.001 ......	The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and update cross-references and to incorporate by reference SEC Rule 17a-14 (17 C.F.R. ....	23717681	10/2/2020 Vol. 46/193
Development 69W-200.001 ......	The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and update cross-references and to incorporate by reference SEC Rule 17a-14 (17 C.F.R. ....	23468682	7/28/2020 Vol. 46/146
Final 69W-200.001	Definitions	18220885	Effective: 11/15/2016
Proposed 69W-200.001	The rule is proposed to be amended to delete the reference to repealed Rule 69W-600.003(3), F.A.C., and replace it with Rule 69W-600.0024(4)(b), F.A.C.	17839190	8/4/2016 Vol. 42/151
Development 69W-200.001	The rule is proposed for amendment to update references to a repealed rule.	17686318	6/24/2016 Vol. 42/123
Final 69W-200.001	Definitions	15033174	Effective: 09/22/2014
Public Meeting 69W-200.001 ......	This is the Final Public Hearing on the adoption of proposed amendments to 69W-200.001 and adoption of proposed new rule 69W-200.002, originally .... August 19, 2014, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....	14896501	8/4/2014 Vol. 40/150
Change 69W-200.001	Definitions	14718603	6/26/2014 Vol. 40/124
Proposed 69W-200.001	The rule is proposed for amendment to: update references to incorporated material; amend the definition of an accredited investor to define it according to federal rule; remove one unused and one duplicative definition; ....	14545458	5/19/2014 Vol. 40/97
Development 69W-200.001 ......	69W-200.001 is 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 ....	14447003	4/15/2014 Vol. 40/73
Final 69W-200.001	Definitions	13733083	Effective: 11/11/2013
Public Meeting 69W-200.001	This is the Final Public Hearing on the adoption of proposed amendments to Rule 69W-200.001, F.A.C., published on August 14, 2013, Vol. 39/158, .... September 24, 2013, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee	13499313	9/11/2013 Vol. 39/177
Proposed 69W-200.001	The proposed rule amendment updates a definition to reflect statutory changes in the requirements of certain branch offices conducting securities transactions to notice file with the Office of Financial Regulation rather ....	13267871	8/14/2013 Vol. 39/158
Development 69W-200.001	The proposed rule amendment updates a definition to reflect statutory changes in the requirements of certain branch offices conducting securities transactions to notice file with the Office of Financial Regulation rather ....	13237898	7/16/2013 Vol. 39/137
Final 69W-200.001	Definitions	9160891	Effective: 09/30/2010
Public Hearing 69W-200.001	This is the Final Public Hearing on the adoption of proposed amendments to Rule 69W-200.001, F.A.C., published on June 18, 2010, in Vol. 36, .... August 26, 2010, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....	8990365	8/13/2010 Vol. 36/32
Proposed 69W-200.001	The rule is amended to reflect the most current version of federal regulations and federal statutes referenced in the rule. The rule is also amended to replace references to the National Association of Securities Dealers ....	8681614	6/18/2010 Vol. 36/24
Development 69W-200.001	The rule is amended to reflect the most current version of federal regulations and federal statutes referenced in the rule. The rule is also amended to replace references to the National Association of Securities Dealers ....	8068865	12/24/2009 Vol. 35/51
Final 69W-200.001	Definitions	4117570	Effective: 05/15/2007
Proposed 69W-200.001	Chapter 2006-213, Laws of Florida, contains amendments to Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law changed the definition of branch office and authorized the ....	3828122	2/23/2007 Vol. 33/08
Development 69W-200.001	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 ....	3332355	12/22/2006 Vol. 32/51
Final 69W-200.001	Definitions	2861808	Effective: 10/30/2003

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