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

Notice of Publication of Compliance Economic Reviews

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 Compliance Economic Reviews for its Group 1 rules, pursuant to Section 120.745, F.S. This notice and the publications were first published on the Office’s website on April 20, 2012, and may be accessed at: http://www.flofr.com/2011_Rule_Review.aspx. Interested parties may submit lower cost regulatory alternatives no later than June 15, 2012 to: John Kim, Office of Financial Regulation, 200 E. Gaines St., Suite 645, Tallahassee, Florida 32399, Fax: [phone], email: [e-mail].