General Industry Standards Incorporated by Reference

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NO.:RULE TITLE:

69W-200.002General Industry Standards Incorporated by Reference

NOTICE OF CHANGE

Notice is hereby given that the following changes have been made to the proposed rule in accordance with subparagraph 120.54(3)(d)1., F.S., published in Vol. 46 No. 193, October 2, 2020 issue of the Florida Administrative Register.

69W-200.002 General Industry Standards Incorporated by Reference.

The following general industry standards as expressed in the statutes, rules and regulations of the various federal and self-regulatory agencies and regulatory associations and referenced in Division 69W, F.A.C., are hereby incorporated by reference and adopted by this rule. The material incorporated by reference in this rule may also be obtained from the Florida Office of Financial Regulation (Office), Division of Securities’ website at http://www.flofr.com/sitePages/MaterialsDS.htm, except where noted for copyright restrictions. Materials subject to copyright restrictions may be inspected and examined by contacting the Florida Office of Financial Regulation, Division of Securities, at 200 E. Gaines Street, Tallahassee, Florida 32399, [phone] or the Florida Department of State at 500 S. Bronough Street, Tallahassee, Florida 32399, [phone].

(1) through (15) No change.

(16) Regulation A (17 C.F.R. §§230.251 through 230.263) (4-1-20 4-1-19 edition), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(17) through (18) No change.

(19) SEC Rule 701 (17 C.F.R. §230.701) (4-1-20 4-1-19 edition), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(20) through (25) No change.

(26) SEC Rules 15c2-1, 15c2-4, 15c2-5, 15c2-7, 15c2-8, 15c2-11, and 15c2-12 (17 C.F.R. §§240.15c2-1, 240.15c2-4, 240.15c2-5, 240.15c2-7, 240.15c2-8, 240.15c2-11, and 240.15c2-12) (4-1-20 4-1-19 edition), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(27) SEC Rule 15c3-1 and appendices (17 C.F.R. §§240.15c3-1; 240.15c3-1a; 240.15c3-1b; 240.15c3-1c; 240.15c3-1d; 240.15c3-1e; 240.15c3-1f; 240.15c3-1g) (4-1-20 edition), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(28) through (29) No change.

(30) SEC Rules 17a-3 and 17a-4 (17 C.F.R. §§240.17a-3 and 240.17a-4) (4-1-20 edition current as of 7-7-20), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(31) No change.

(32) SEC Rules 17a-11 and 17a-14 (17 C.F.R. §§240.17a-11 and 240.17a-14) (4-1-20 edition current as of 7-17-20), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(33) No change.

(34) Regulation M (17 C.F.R. §§242.100 through 242.105) (4-1-20 4-1-19 edition), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(35) Regulation SHO (17 C.F.R. §§242.200 through 242.203) (4-1-20 4-1-19 edition), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(36) through (37) No change.

(38) SEC Rules 204-1, 204-2, 204-3, 205-1, 205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1, 206(4)-3 (17 C.F.R. §§275.204-1; 275.204-2; 275.204-3; 275.205-1; 275.205-2; 275.205-3; 275.206(3)-1; 275.206(3)-2; 275.206(4)-1275.206(4)-3) (4-1-20 edition current as of 7-8-20), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(39) No change.

(40) through (52) No change.

Rulemaking Authority 517.03(1), 517.1215(2), 517.1217 FS. Law Implemented 517.081, 517.12(4), 517.1215, 517.1217, 517.161(1) FS. History–New 9-22-14, Amended 5-6-15, 11-26-19,                .