Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, 600.015, and 600.016; and proposed creation of new rules 69W-600.0151 and 600.0161. The proposed rules ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NOS.:RULE TITLES:

69W-600.0131Prohibited Business Practices for Investment Advisers and Their Associated Persons

69W-600.0132Custody Requirements for Investment Advisers

69W-600.014Books and Records Requirements

69W-600.015Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers

69W-600.0151Net Capital and Financial Reporting Requirements for Dealers and Issuer/Dealers

69W-600.016Net Capital Requirements for Dealers and Investment Advisers

69W-600.0161Net Capital and Financial Reporting Requirements for Investment Advisers

The Office of Financial Regulation announces a workshop to which all persons are invited.

DATE AND TIME: December 18, 2014, 1:30 p.m.

PLACE: Room B103, Office of Financial Regulation, 200 East Gaines Street, Fletcher Building, Tallahassee, FL 32399

GENERAL SUBJECT MATTER TO BE CONSIDERED: Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of Rules 69W-300.002, 600.015, and 600.016; and proposed creation of new Rules 69W-600.0151 and 600.0161. The proposed rules relate generally to updated financial reporting, custody, recordkeeping, and compliance procedures and practices requirements for Florida state-registered investment advisers.

A copy of the agenda may be obtained by contacting: Meredith Stanfield, Legislative and Cabinet Affairs, [e-mail].

For more information, you may contact: Meredith Stanfield, Legislative and Cabinet Affairs, [e-mail] or John Kim, Division of Securities, [e-mail].