Rule: 69W-600.0132 Prev   Up   Next

Rule Title: Custody Requirements for 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: 5/6/2015
History Notes: Rulemaking Authority 517.03(1), 517.1215 FS. Law Implemented 517.1215 FS. History–New 10-23-06, Amended 11-22-10, 9-22-14, 5-6-15.
References in this version: Ref-05357 Form ADV-E (01-13)
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.0132
Custody Requirements for Investment Advisers 15917329 Effective:
05/06/2015
View Text Change
69W-600.0132
Custody Requirements for Investment Advisers 15706257 3/5/2015
Vol. 41/44
View Text Proposed
69W-600.0132
The Office proposes to amend this rule to conform it more closely with the NASAA model rule. The purpose and effect of these changes are for more logical organization, clarifying certain provisions, adding a requirement .... 15578217 1/29/2015
Vol. 41/19
View Text Workshop
69W-600.0131
......
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, ....
15344350 12/4/2014
Vol. 40/234
View Text Development
69W-600.0131
......
The Office proposes to amend rules 69W-600.0131, .0132, and .014; repeal rules 69W-600.015 and .016, and create new rules 69W-600.0151 and .0161. Rule 600.0131 is proposed to be amended to require Florida state registered .... 15277032 11/24/2014
Vol. 40/228
View Text Final
69W-600.0132
Custody Requirements for Investment Advisers 15039673 Effective:
09/22/2014
View Text Public Meeting
69W-600.006
......
This is the Final Public Hearing on the adoption of proposed amendments to these rules, originally published on May 19, 2014, Vol. 40, No. 97, ....
  August 19, 2014, 9:00 a.m., during a regular meeting of the ....
  Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
14896889 8/4/2014
Vol. 40/150
View Text Change
69W-600.006
......
Fingerprint Requirements, Rules of Conduct, Prohibited Business Practices for Dealers and Their Associated Persons, Prohibited Business Practices for Investment Advisers and Their Associated Persons, .... 14666611 6/10/2014
Vol. 40/112
View Text Proposed
69W-600.006
......
The rules are proposed for amendment to: update references to incorporated material; correct cross-references; adopt FINRA 3240 in whole in Rule 69W-600.013 (previously adopted only in part); adopt MSRB Definitional Rules .... 14550211 5/19/2014
Vol. 40/97
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-600.0132
Custody Requirements for Investment Advisers 9396601 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 Final
69W-600.0132
Custody Requirements for Investment Advisers 3060755 Effective:
10/23/2006
View Text Change
69W-600.0131
......
Prohibited Business Practices for Investment Advisers and Their Associated Persons, Custody Requirements for Investment Advisers, Books and Records Requirements 655349 9/1/2006
Vol. 32/35
View Text Proposed
69W-600.014
......
Section 517.1215(1), Florida Statutes, requires the Commission to specify by rule requirements for investment advisers deemed to have custody of client funds. The statute requires that the following areas be addressed: (a) .... 157836 2/24/2006
Vol. 32/08