Notice: 15564443
Notice of Proposed Rule
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview

RULE:
69W-600.015   Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed)
69W-600.016   Net Capital Requirements for Dealers and Investment Advisers (Repealed)
RULEMAKING AUTHORITY: 517.03(1), 517.12(9), 517.121(2) FS
LAW: 517.12(9), (16), 517.121(2) FS
PRINT PUBLISH DATE: 1/29/2015   Vol. 41/19
COMMENTS: From 1/29/2015 To 2/19/2015 (21 Days)
The public comment period for this notice has already expired.
REFERENCE MATERIALS: No reference(s).