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

 

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: [phone], E-mail: [e-mail].