Rule: 69W-600.014 Prev Up Next
| Rule Title: Books and Records Requirements | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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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):
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Effective Date: | 3/21/2024 |
| History Notes: | Rulemaking Authority 517.03(1), 517.121(1), 517.1215 FS. Law Implemented 517.121(1), 517.1215 FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.14, Amended 10-14-90, 8-1-91, 6-16-92, 1-11-93, 9-9-96, 6-22-98, 1-25-00, 10-30-03, Formerly 3E-600.014, Amended 10-23-06, 5-15-07, 11-22-10, 11-11-13, 9-22-14, 5-6-15, 11-15-16, 11-26-19, 1-18-21, 2-14-23, 3-21-24. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
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Books and Records Requirements | 28116146 |
Effective: 03/21/2024 |
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Books and Records Requirements | 26782590 |
Effective: 02/14/2023 |
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Books and Records Requirements | 24066105 |
Effective: 01/18/2021 |
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Books and Records Requirements | 22603733 |
Effective: 11/26/2019 |
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Books and Records Requirements | 18221370 |
Effective: 11/15/2016 |
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Books and Records Requirements | 15917426 |
Effective: 05/06/2015 |
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Books and Records Requirements | 15039867 |
Effective: 09/22/2014 |
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Books and Records Requirements | 13734247 |
Effective: 11/11/2013 |
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Books and Records Requirements | 9396698 |
Effective: 11/22/2010 |
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Books and Records Requirements | 4120577 |
Effective: 05/15/2007 |
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Books and Records Requirements | 3060852 |
Effective: 10/23/2006 |
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Books and Records Requirements | 2865591 |
Effective: 10/30/2003 |
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