69W-600.017. Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities  

Effective on Tuesday, November 26, 2019
  • 1All Dealer applicants and registrants subject to the net capital provisions of subsection 1469W-600.0151(2), 15F.A.C., shall be required to prepare and maintain such records and accounts as specified in, and to comply in all other respects with, the provisions of SEC Rule 15c3-3 and Exhibit A (4817 C.F.R. §240.15c3-3 51and 240.15c3-3a), 53which are incorporated by reference in Rule 6069W-200.002, 61F.A.C.

    62Rulemaking Authority 64517.03(1), 65517.12(9), 66517.121(2) FS. 68Law Implemented 70517.12(9), 71517.121(2) FS. 73History–New 12-5-79, Formerly 3E-600.17, Amended 6-16-92, Formerly 3E-600.017, Amended 11-22-10, 9-22-14, 11-26-19.