Custody Requirements for Investment Advisers, Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers, Net Capital Requirements for Dealers and Investment Advisers  

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    DEPARTMENT OF FINANCIAL SERVICES
    Securities

    2011 Rule Review - Final Report

    RULE NO.: RULE TITLE:
    69W-600.0132: Custody Requirements for Investment Advisers
    69W-600.015: Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers
    69W-600.016: Net Capital Requirements for Dealers and Investment Advisers

    The Financial Services Commission, Office of Financial Regulation, has published the Final Report for its Group 1 rules, pursuant to Section 120.745, F.S. The Report was first published on the Office's website on November 26, 2012, and may be accessed at http://www.flofr.com/2011_Rule_Review.

    Interested parties may contact French Brown, Office of Financial Regulation, 200 E. Gaines St., Suite 526, Tallahassee, FL 32399, Fax: (850) 410-9663, E-mail: French.Brown@flofr.com.