The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and update cross-references and to clarify the definition of “associated person” as it ....
DEPARTMENT OF FINANCIAL SERVICES
RULE NOS.:RULE TITLES:
69W-200.001Definitions
69W-200.002General Industry Standards Incorporated by Reference
PURPOSE AND EFFECT: The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and update cross-references and to clarify the definition of “associated person” as it relates to the SEC’s cash solicitation rule.
SUBJECT AREA TO BE ADDRESSED: Securities Regulation
RULEMAKING AUTHORITY: 517.03, 517.1215, 517.1217 FS.
LAW IMPLEMENTED: 517.07, 517.12, 517.021, 517.051, 517.061, 517.081, 517.1215, 517.1217, 517.161 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, Office of General Counsel, (850)410-9803, Ryann.White@flofr.gov
THE PRELIMINARY TEXT OF THE PROPOSED RULE DEVELOPMENT IS NOT AVAILABLE.
Document Information
- Purpose:
- The purpose and effect is to amend the existing rules to incorporate by reference the current versions of general industry standards and update cross-references and to clarify the definition of “associated person” as it relates to the SEC’s cash solicitation rule.
- Rulemaking Authority:
- 517.03, 517.1215, 517.1217 FS.
- Law:
- 517.07, 517.12, 517.021, 517.051, 517.061, 517.081, 517.1215, 517.1217, 517.161 FS.
- Related Rules: (2)
- 69W-200.001. Definitions
- 69W-200.002. General Industry Standards Incorporated by Reference