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. 45 No. 157, August 13, 2019 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 (38) No change.

(39) Article 6, Rule 11 of NYSE Chicago Inc. (existing as of 3-10-19), available for inspection at the Office due to copyright restrictions.

(39)(40) FASB Rule ASC 946-210-50 (existing as of 2-3-15), available for inspection at the Office due to copyright restrictions.

(40)(41) FINRA Rule 1240 (existing as of 2-22-19), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(41)(42) FINRA Rule 2000 Series (2010 through 2370) (existing as of 3-8-19), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(42)(43) FINRA Rule 3000 Series (3110 through 3310) (existing as of 3-8-19), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(43)(44) FINRA Rule 4000 Series (4110 through 4590) (existing as of 3-8-19), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(44)(45) FINRA Rule 5000 Series (5110 through 5350) (existing as of 3-8-19), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(45)(46) FINRA Rule 6000 Series (6110 through 6898) (existing as of 3-8-19), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(46)(47) FINRA Rule 7000 Series (7110 through 7730) (existing as of 3-8-19), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(47)(48) FINRA Rule 11000 Series (11100 through 11900) (existing as of 3-8-19), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(48)(49) NASD Conduct Rules 2340 and 2510 (existing as of 3-8-19), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(49)(50) NASD Conduct Rules 3140, 3150, and IM-3150 (existing as of 3-8-19), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(50)(51) MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 (existing as of 10-1-18), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX. available for inspection at the Office due to copyright restrictions.

(51)(52) NYSE Rule 341A (existing as of 3-11-19), available for inspection at the Office due to copyright restrictions.

(52)(53) NYSE Rule 345A (existing as of 3-10-19), available for inspection at the Office due to copyright restrictions.

(53)(54) NYSE Rules 412 and 435 (existing as of 2-21-19), available for inspection at the Office due to copyright restrictions.

(54) NYSE Chicago Inc. Article 6, Rule 11 (existing as of 3-10-19), available for inspection at the Office due to copyright restrictions.

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,               .