69W-200.002. General Industry Standards Incorporated by Reference

Effective on Thursday, March 21, 2024

1The 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. 40The material incorporated by reference in this rule may also be obtained from the Florida Office of Financial Regulation (Office), Division of Securities’ website at https://flofr.gov/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, (850) 487-9687 or the Florida Department of State at 500 S. Bronough Street, Tallahassee, Florida 32399, (850) 245-6500.

119(1) Section 4f(a) of the Commodity Exchange Act (1287 U.S.C. §6f131) (2012), accessible at 135http://www.flrules.org/Gateway/reference.asp?No=Ref-04566137.

138(2) 139Sections 2, 3, 4, 5, 6, 7, 8, and 10(a) of the Securities Act of 1933, (15615 U.S.C. §§77b, 15977c, 77d, 77e, 77f, 77g, 77h, and 77j) (7-6-23), accessible at 170http://www.flrules.org/Gateway/reference.asp?No=Ref-16498172.

173(3) Securities Exchange Act of 1934 (18015 U.S.C. §§78a 183through 78qq) (7-6-23), accessible at 188http://www.flrules.org/Gateway/reference.asp?No=Ref-16476190.

191(4) Investment Company Act of 1940 (19815 U.S.C. §§80a-1 201through 80a-64) (7-6-23), accessible at 206http://www.flrules.org/Gateway/reference.asp?No=Ref-16475208.

209(5) The Investment Advisers Act of 1940 (21715 U.S.C. §§80b-1 220through 80b-21) (7-6-23), accessible at 225http://www.flrules.org/Gateway/reference.asp?No=Ref-16478227.

228(6) 229Section 422 of the Internal Revenue Code (23726 U.S.C. §422240) (4-2-19), accessible at 244http://www.flrules.org/Gateway/reference.asp?No=Ref-11286246.

247(7) Section 501(c)(3) of the Internal Revenue Code (25626 U.S.C. §501(c)(3)259) (3-30-10), accessible at 263http://www.flrules.org/Gateway/reference.asp?No=Ref-04579265.

266(8) Section 642(c)(5) of the Internal Revenue Code of 1954 (27726 U.S.C. §642(c)(5)280) (1-23-02), accessible at 284http://www.flrules.org/Gateway/reference.asp?No=Ref-04527286.

287(9) Sections 856, 857 and 858 of the Internal Revenue Code of 1954 (30126 U.S.C. §§856 304through 858) (3-11-19), accessible at 309http://www.flrules.org/Gateway/reference.asp?No=Ref-11287311.

312(10) Employee Retirement Income Security Act of 1974 (Pub.L. 93-406) (4-7-14), accessible at 325http://www.flrules.org/Gateway/reference.asp?No=Ref-04578327.

328(11) National Securities Markets Improvement Act of 1996 (Pub. L. 104-290) (10-11-96), accessible at 342http://www.flrules.org/Gateway/reference.asp?No=Ref-04565344.

345(12) Regulation T (34912 C.F.R. §§220.1 352through 353220.12, 354220.101, 220.103, 220.105, 220.108, 220.110, 220.111, 220.113, 220.117, 220.118, 220.119, 220.121, 220.122, 220.123, 220.124, 220.127, 220.128, 370220.131, 371220.132); and 37312 C.F.R. §221.125 376of Regulation U (1-1-13 edition), accessible at 383http://www.flrules.org/Gateway/reference.asp?No=Ref-04544385.

386(13) Regulation S-X (39017 C.F.R. Part 210394) (4-1-21 edition), accessible at 399http://www.flrules.org/Gateway/reference.asp?No=Ref-15084401.

402(14) SEC Rules 134, 134a, 135a, 144, 156, 419, 481 and 482, (41517 C.F.R. §§230.134, 418230.134a, 230.135a, 230.144, 230.156, 230.419, 230.481 and 230.482) (4-1-22 edition 428as amended in 87 FR 72846-72847 (Nov. 25, 2022) and 88 FR 17710 (Mar. 24, 2023)), accessible at 446http://www.flrules.org/Gateway/reference.asp?No=Ref-16481448.

449(15) SEC Rule 144A (45417 C.F.R. §230.144A(a)457) (4-1-21 edition), accessible at 462http://www.flrules.org/Gateway/reference.asp?No=Ref-15086464.

465(16) Regulation A (46917 C.F.R. §§230.251 472through 230.263) (4-1-21 edition), accessible at 478http://www.flrules.org/Gateway/reference.asp?No=Ref-15087480.

481(17) SEC Rule 415 (48617 C.F.R. §230.415489) (4-1-22 edition), accessible at 494http://www.flrules.org/Gateway/reference.asp?No=Ref-16479496.

497(18) 498SEC Rule 501(a) of Regulation D (50517 C.F.R. §230.501(a)508) (4-1-21 edition), accessible at 513http://www.flrules.org/Gateway/reference.asp?No=Ref-15089515.

516(19) SEC Rule 701 (52117 C.F.R. §230.701524) (4-1-20 edition), accessible at 529http://www.flrules.org/Gateway/reference.asp?No=Ref-12528531.

532(20) Regulation S (53617 C.F.R. §§230.901 539through 230.905) (4-1-13 edition), accessible at 545http://www.flrules.org/Gateway/reference.asp?No=Ref-04528547.

548(21) SEC Rule 8c-1, (55317 C.F.R. §240.8c-1556) (4-1-14 edition), accessible at 561http://www.flrules.org/Gateway/reference.asp?No=Ref-04545563.

564(22) SEC Rule 9b-1 (56917 C.F.R. §240.9b-1572) (4-1-14 edition), accessible at 577http://www.flrules.org/Gateway/reference.asp?No=Ref-04537579.

580(23) SEC Rules 10b-1, 10b-3, 10b-5, 10b5-1, 10b5-2, 10b-9, 10b-10, 10b-16, 10b-17, 10b-18, and 10b-21 (59617 C.F.R. §§240.10b-1, 599240.10b-3, 240.10b-5, 240.10b5-1, 240.10b5-2, 240.10b-9, 240.10b-10, 240.10b-16, 240.10b-17, 240.10b-18, and 240.10b-21) (4-1-14 edition), accessible at 614http://www.flrules.org/Gateway/reference.asp?No=Ref-04538616.

617(24) SEC Rule 15a-6(b)(4)(i) (62217 C.F.R. §240.15a-6625) (4-1-14 edition), accessible at 630http://www.flrules.org/Gateway/reference.asp?No=Ref-04580632.

633(25) SEC Rules 15c1-1 through 15c1-3 and 15c1-5 through 15c1-9 (64417 C.F.R. §§240.15c1-1 647through 240.15c1-3 and 240.15c1-5 through 240.15c1-9) (4-1-14 edition), accessible at 657http://www.flrules.org/Gateway/reference.asp?No=Ref-04539659.

660(26) SEC Rules 15c2-1, 15c2-4, 15c2-5, 15c2-7, 15c2-8, 15c2-11, and 15c2-12 (67217 C.F.R. §§240.15c2-1, 675240.15c2-4, 240.15c2-5, 240.15c2-7, 240.15c2-8, 240.15c2-11, and 240.15c2-12) (4-1-21 edition), accessible at 686http://www.flrules.org/Gateway/reference.asp?No=Ref-15090688.

689(27) SEC Rule 15c3-1 and appendices (69617 C.F.R. §§240.15c3-1; 699240.15c3-1a; 240.15c3-1b; 240.15c3-1c; 240.15c3-1d; 240.15c3-1e; 240.15c3-1f; 240.15c3-1g (4-1-20 edition), accessible at 710http://www.flrules.org/Gateway/reference.asp?No=Ref-12530712.

713(28) SEC Rule 15c3-3 and Exhibit A (72117 C.F.R. §§240.15c3-3 724and 240.15c3-3a) (4-1-21 edition), accessible at 730http://www.flrules.org/Gateway/reference.asp?No=Ref-15091732.

733(29) SEC Rules 15g-1 through 15g-6, 15g-8, and 15g-9 (74317 C.F.R. §§240.15g-1 746through 240.15g-6, 240.15g-8 and 240.15g-9) (4-1-21 edition), accessible at 755http://www.flrules.org/Gateway/reference.asp?No=Ref-15092757.

758(30) Regulation Best Interest (76317 C.F.R. §240.15l-1766) (4-1-22 edition), accessible at 771http://www.flrules.org/Gateway/reference.asp?No=Ref-16482773.

774(31) SEC Rules 17a-3 and 17a-4 (78117 C.F.R. §§240.17a-3 784and 240.17a-4) (4-1-22 edition 788as amended in 88 F.R. 39994 (June 20, 2023)), accessible at 799http://www.flrules.org/Gateway/reference.asp?No=Ref-16483801.

802(32) SEC Rules 17a-5 (80717 C.F.R. §240.17a-5810) (6-1-14) and 17a-10 (81517 C.F.R. §240.17a-10818) (12-9-81), accessible at 822http://www.flrules.org/Gateway/reference.asp?No=Ref-04523824.

825(33) SEC Rules 17a-11 and 17a-14 (83217 C.F.R. §§240.17a-11 835and 240.17a-14) (4-1-20 edition), accessible at 841http://www.flrules.org/Gateway/reference.asp?No=Ref-12532843.

844(34) SEC Rule 17f-2 (84917 C.F.R. §240.17f-2852) (4-1-13 edition), accessible at 857http://www.flrules.org/Gateway/reference.asp?No=Ref-04533859.

860(35) Regulation M (86417 C.F.R. §§242.100 867through 242.105) (4-1-22 edition as amended in 88 F.R. 39994 (June 20, 2023)), accessible at 882http://www.flrules.org/Gateway/reference.asp?No=Ref-16484884.

885(36) Regulation SHO (88917 C.F.R. §§242.200-242.203892) (4-1-22 edition), accessible at 897http://www.flrules.org/Gateway/reference.asp?No=Ref-16485899.

900(37) SEC Rule 601 (90517 C.F.R. §242.601908) (4-1-14 edition), accessible at 913http://www.flrules.org/Gateway/reference.asp?No=Ref-04543915.

916(38) Regulation S-P §248.30 (92117 C.F.R. §248.30924) 925(4-1-18 edition), 927accessible at 929http://www.flrules.org/Gateway/reference.asp?No=Ref-11294931.

932(39) SEC Rules 204-1, 204-2, 204-3, 205-1, 205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1 (94517 C.F.R. §§275.204-1; 948275.204-2; 275.204-3; 275.205-1; 275.205-2; 275.205-3; 275.206(3)-1; 275.206(3)-2; 275.206(4)-1 (4-1-21 edition as amended in 86 FR 13024, 13138-13142 (Mar. 5, 2021) and 87 F.R. 22444, 22447 (April 15, 2022)), accessible at 978http://www.flrules.org/Gateway/reference.asp?No=Ref-15095980.

981(40) 982FASB Rule ASC 946-210-50 (existing as of 7-5-23), available for inspection at the Office due to copyright restrictions.

1000(41) FINRA Rules 1020 and 1240 (existing as of 7-5-23), accessible at 1012http://www.flrules.org/Gateway/reference.asp?No=Ref-164861014.

1015(42) FINRA Rule 2000 Series (2010 through 2370) (existing as of 7-5-23), accessible at 1029http://www.flrules.org/Gateway/reference.asp?No=Ref-164891031.

1032(43) FINRA Rule 3000 Series (3110 through 3310) (existing as of 7-5-23), accessible at 1046http://www.flrules.org/Gateway/reference.asp?No=Ref-164901048.

1049(44) FINRA Rule 4000 Series (4110 through 4590) (existing as of 7-5-23), accessible at 1063http://www.flrules.org/Gateway/reference.asp?No=Ref-164911065.

1066(45) FINRA Rule 5000 Series (5110 through 5350) (existing as of 7-5-23), accessible at 1080http://www.flrules.org/Gateway/reference.asp?No=Ref-164931082.

1083(46) FINRA Rule 6000 Series (6110 through 6898) (existing as of 7-5-23), accessible at 1097http://www.flrules.org/Gateway/reference.asp?No=Ref-164941099.

1100(47) FINRA Rule 7000 Series (7110 through 7730) (existing as of 7-5-23), accessible at 1114http://www.flrules.org/Gateway/reference.asp?No=Ref-164951116.

1117(48) FINRA Rule 11000 Series (11100 through 11900) (existing as of 7-5-23), accessible at 1131http://www.flrules.org/Gateway/reference.asp?No=Ref-164961133.

1134(49) MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 (existing as of 10-1-22), accessible at 1153http://www.flrules.org/Gateway/reference.asp?No=Ref-164971155.

1156(50) NYSE American Rule 341A (existing as of 7-5-23), available for inspection at the Office due to copyright restrictions1175.

1176(51) NYSE Rule 345A (existing as of 7-5-23), available for inspection at the Office due to copyright restrictions1194.

1195(52) NYSE Rules 412 and 435 (existing as of 2-21-19), available for inspection at the Office due to copyright restrictions1215.

1216(53) NYSE Chicago Inc. Article 6, Rule 11 (existing as of 7-5-23), available for inspection at the Office due to copyright restrictions1238.

1239Rulemaking Authority 1241517.03(1), 1242517.1215(2), 1243517.1217 FS. 1245Law Implemented 1247517.081, 1248517.12(4), 1249517.1215, 1250517.1217, 1251517.161(1) FS. 1253History–New 9-22-14, Amended 5-6-15, 11-26-19, 1-18-21, 2-14-23, 3-21-24.

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