This rule is proposed to be amended to update cross-references to proposed new rule 69W-600.0151, a consolidated financial reporting and net capital rule for dealers and issuer-dealers. The net capital requirement provisions of existing rule 69W-...  

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    DEPARTMENT OF FINANCIAL SERVICES

    Securities

    RULE NO.:RULE TITLE:

    69W-400.002Registration of Issuer Under Section 517.051(9), F.S., as Dealer

    PURPOSE AND EFFECT: This rule is proposed to be amended to update cross-references to proposed new Rule 69W-600.0151, F.A.C., a consolidated financial reporting and net capital rule for dealers and issuer-dealers. The net capital requirement provisions of existing Rule 69W-400.002, F.A.C., are proposed to be stricken and moved to the new proposed Rule 69W-600.0151, F.A.C.

    SUBJECT AREA TO BE ADDRESSED: Securities Regulation.

    RULEMAKING AUTHORITY: 517.03 FS.

    LAW IMPLEMENTED: 517.051(9), 517.12(2) FS.

    IF REQUESTED IN WRITING AND NOT DEEMED UNNECESSARY BY THE AGENCY HEAD, A RULE DEVELOPMENT WORKSHOP WILL BE NOTICED IN THE NEXT AVAILABLE FLORIDA ADMINISTRATIVE REGISTER.

    THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE DEVELOPMENT AND A COPY OF THE PRELIMINARY DRAFT, IF AVAILABLE, IS: John Kim, (850)410-9781, john.kim@flofr.com; Meredith Stanfield, (850)410-9544, meredith.stanfield@flofr.com

    THE PRELIMINARY TEXT OF THE PROPOSED RULE DEVELOPMENT IS NOT AVAILABLE.

     

Document Information

Subject:
Securities Regulation
Purpose:
This rule is proposed to be amended to update cross-references to proposed new rule 69W-600.0151, a consolidated financial reporting and net capital rule for dealers and issuer-dealers. The net capital requirement provisions of existing rule 69W-400.002 are proposed to be stricken and moved to the new proposed rule 69W-600.0151.
Rulemaking Authority:
517.03 FS
Law:
517.051(9), 517.12(2) FS
Contact:
John Kim, (850)410-9781, john.kim@flofr.com Meredith Stanfield, (850) 410-9544, meredith.stanfield@flofr.com
Related Rules: (1)
69W-400.002. Registration of Issuer Under Section 517.051(9), F.S., as Dealer