Published on: 15563182. The Office proposes to repeal current financial reporting rules 69W-300.002 and 69W-600.015 and net capital rule 69W-600.016, to be replaced by proposed new consolidated net capital/financial reporting rules in 69W-600.0151 and 69W-600.0161 for dealers/issuer-dealers and investment advisers, respectively. The purpose and effect of these changes are to remove outdated requirements, implement clearer requirements as to financial reporting and calculation of net capital, and improve rule organization by consolidating rules on the same subject while creating separate rules by registration type.
Published on: 15343962. 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, 600.015, and 600.016; and proposed creation of new rules 69W-600.0151 and 600.0161. The proposed rules relate generally to updated financial reporting, custody, recordkeeping, and compliance procedures and practices requirements for Florida state-registered investment advisers.; December 18, 2014, 1:30 p.m.; Room B103, Office of Financial Regulation, 200 East Gaines Street, Fletcher Building, Tallahassee, FL 32399.
Published on: 15273734. The Office proposes to repeal current financial reporting rules 69W-300.002 and 69W-600.015 and net capital rule 69W-600.016, to be replaced by proposed new consolidated net capital/financial reporting rules 69W-600.0151 and 69W-600.0161 for dealers/issuer-dealers and investment advisers, respectively. The purpose and effect of these changes are to remove outdated requirements, implement clearer requirements as to financial reporting and calculation of net capital, and improve rule organization by consolidating rules on the same subject while creating separate rules by registration type.
Published on: 14896598. This is the Final Public Hearing on the adoption of proposed amendments to this rule, originally published on May 19, 2014, Vol. 40, No. 97, Florida Administrative Register and revised in subsequent Notices of Change.; August 19, 2014, 9:00 a.m., during a regular meeting of the Financial Services Commission.; Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, Florida.
Published on: 14547689. The rule 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 rule 69W-200.002, F.A.C. that conforms with Section 120.54(1)(i), F.S. The proposed amendment references 69W-200.002, F.A.C., where the material can be accessed via the FAR.