Rule: 69W-200.002 Prev   Up   Next

Rule Title: General Industry Standards Incorporated by Reference
Department: DEPARTMENT OF FINANCIAL SERVICES    Add to MyFLRules Favorites
Add to MyFLRules Favorites
Division: Securities
Chapter: DEFINITIONS

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

VIEW_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.
References in this version: 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
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-200.002
General Industry Standards Incorporated by Reference 24064456 Effective:
01/18/2021
View Text Change
69W-200.002
General Industry Standards Incorporated by Reference 23843102 11/4/2020
Vol. 46/216
View Text Correction
69W-200.001
......
Definitions, General Industry Standards Incorporated by Reference 23843005 11/4/2020
Vol. 46/216
View Text 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
View Text 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
View Text Final
69W-200.002
General Industry Standards Incorporated by Reference 22601987 Effective:
11/26/2019
View Text Change
69W-200.002
General Industry Standards Incorporated by Reference 22397220 9/19/2019
Vol. 45/183
View Text Proposed
69W-200.002
The purpose and effect is to amend the existing rule to incorporate by reference the current versions of general industry standards and to incorporate one new material by reference, Regulation S-P § 248.30 (17 C.F.R. §248.30) .... 22251623 8/13/2019
Vol. 45/157
View Text Development
69W-200.002
The purpose and effect is to amend the existing rule to incorporate by reference the current versions of general industry standards and to incorporate one new material by reference, Regulation S-P § 248.30 (17 C.F.R. §248.30) .... 22020181 6/20/2019
Vol. 45/120
View Text Final
69W-200.002
General Industry Standards Incorporated by Reference 15918299 Effective:
05/06/2015
View Text Change
69W-200.002
General Industry Standards Incorporated by Reference 15706354 3/5/2015
Vol. 41/44
View Text Proposed
69W-200.002
This rule is proposed to be amended to incorporate one new material by reference, SEC Rule 204-1 (17 C.F.R. 275.204-1), to be referenced in Rule 69W-600.0131, F.A.C. The effect of this incorporation is to require state .... 15562891 1/29/2015
Vol. 41/19
View Text Workshop
69W-200.002
Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, ....
  December 18, 2014, 1:30 p.m.
  Room B103, Office of Financial Regulation, 200 East Gaines Street, ....
15343865 12/4/2014
Vol. 40/234
View Text Development
69W-200.002
This rule is proposed to be amended to incorporate two new materials by reference (SEC Rules 204-1 and 206(4)-7), proposed to be referenced in Rule 69W-600.0131(1)(a), F.A.C. These SEC rules require federal investment advisers, .... 15273443 11/24/2014
Vol. 40/228
View Text Final
69W-200.002
General Industry Standards Incorporated by Reference 15033271 Effective:
09/22/2014
View Text 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
View Text Change
69W-200.002
General Industry Standards Incorporated by Reference 14786018 7/25/2014
Vol. 40/144
View Text Proposed
69W-200.002
The Office of Financial Regulation (OFR) proposes to adopt new rule 69W-200.002 to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into this rule. The proposed new rule will conform with Section .... 14545846 5/19/2014
Vol. 40/97
View Text 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