The purpose and effect is to amend the existing rules to require financial statements filed with the Office of Financial Regulation pursuant to the financial reporting requirements of the above-referenced rules to be filed ....

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NOS.:RULE TITLES:

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

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

PURPOSE AND EFFECT: The purpose and effect is to amend the existing rules to require financial statements filed with the Office of Financial Regulation pursuant to the financial reporting requirements of the above-referenced rules to be filed by electronic means.

SUBJECT AREA TO BE ADDRESSED: Securities Regulation

RULEMAKING AUTHORITY: 517.03(1), 517.12(9), 517.121, FS.

LAW IMPLEMENTED: 517.12(9), 517.121(2), 517.161(1), 517.201, 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: Ryann White, [phone], [e-mail]

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