Rule: 69W-600.0151 Prev Up Next
| Rule Title: Net Capital and Financial Reporting Requirements for Dealers | |||
| 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), 517.12(8), 517.121(2) FS. Law Implemented 517.12(8), 517.121(2), 517.161(1), 517.201 FS. History–New 5-6-15, Amended 11-26-19, 3-3-21, 2-14-23, 3-21-24. | |
| References in this version: |
Ref-15081 SEC Form X-17A-5 11.18 |
| Notice / Adopted |
Description | ID | Publish Date |
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|---|---|---|---|---|
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Net Capital and Financial Reporting Requirements for Dealers | 28116243 |
Effective: 03/21/2024 |
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Net Capital and Financial Reporting Requirements for Dealers | 26782687 |
Effective: 02/14/2023 |
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Net Capital and Financial Reporting Requirements for Dealers and Issuer/Dealers | 24213836 |
Effective: 03/03/2021 |
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Net Capital and Financial Reporting Requirements for Dealers and Issuer/Dealers | 22603830 |
Effective: 11/26/2019 |
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Net Capital and Financial Reporting Requirements for Dealers and Issuer/Dealers | 15917620 |
Effective: 05/06/2015 |
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