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. §240.15c3-351and 240.15c3-3a), 53which are incorporated by reference in Rule 6069W-200.002, 61F.A.C.