Fla. Admin. Code Ann. R. 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
(1) Section 4f(a) of the Commodity Exchange
Act (7 U.S.C. §
6f) (2012), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04566.
(2) Sections 2, 3, 4, 5, 6, 7, 8, and 10(a)
of the Securities Act of 1933, (15 U.S.C. §§
77b,
77c,
77d,
77e,
77f,
77g,
77h, and
77j) (7-6-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16498.
(3) Securities Exchange Act of 1934
(15 U.S.C. §§
78a through
78qq) (7-6-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16476.
(4) Investment Company Act of 1940
(15 U.S.C. §§
80a-1 through
80a-64) (7-6-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16475.
(5) The Investment Advisers Act of 1940
(15 U.S.C. §§
80b-1 through
80b-21) (7-6-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16478.
(6) Section
422 of the Internal Revenue Code
(26 U.S.C. §
422) (4-2-19), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-11286.
(7) Section
501(c)(3) of the Internal
Revenue Code (26 U.S.C.
§
501(c)(3)) (3-30-10),
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04579.
(8) Section
642(c)(5) of the Internal
Revenue Code of 1954 (26
U.S.C. §
642(c)(5))
(1-23-02), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04527.
(9) Sections
856,
857 and
858 of the Internal Revenue Code of 1954
(26 U.S.C. §§
856 through
858) (3-11-19), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-11287.
(10) Employee Retirement Income Security Act
of 1974 (Pub.L. 93-406) (4-7-14), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04578.
(11) National Securities Markets Improvement
Act of 1996 (Pub. L. 104-290 ) (10-11-96),
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04565.
(12) Regulation T (12 C.F.R. §§
220.1 through
220.12,
220.101,
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,
220.131,
220.132); and
12 C.F.R. §
221.125 of Regulation U (1-1-13 edition),
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04544.
(13) Regulation S-X (17 C.F.R. Part 210)
(4-1-21 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-15084.
(14) SEC Rules 134, 134a, 135a, 144, 156,
419, 481 and 482, (17 C.F.R.
§§
230.134,
230.134a,
230.135a,
230.144,
230.156,
230.419,
230.481 and
230.482) (4-1-23 edition)
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16961.
(15) SEC Rule 144A (17 C.F.R. §
230.144A(a)) (4-1-21
edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-15086.
(16) Regulation A (17 C.F.R. §§
230.251 through
230.263) (4-1-21 edition),
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-15087.
(17) SEC Rule 415 (17 C.F.R. §
230.415) (4-1-22 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16479.
(18) SEC Rule 501(a) of Regulation D
(17 C.F.R. §
230.501(a)) (4-1-21
edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-15089.
(19) SEC Rule 701 (17 C.F.R. §
230.701) (4-1-20 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12528.
(20) Regulation S (17 C.F.R. §§
230.901 through
230.905) (4-1-13 edition),
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04528.
(21) SEC Rule 8c-1, (17 C.F.R. §
240.8c-1) (4-1-14 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04545.
(22) SEC Rule 9b-1 (17 C.F.R. §
240.9b-1) (4-1-14 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04537.
(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 (17 C.F.R. §§
240.10b-1,
240.10b-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) (4-1-23 edition),
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16962.
(24) SEC Rule 15a-6(b)(4)(i) (17 C.F.R. §
240.15a-6) (4-1-14 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04580.
(25) SEC Rules 15c1-1 through 15c1-3 and
15c1-5 through 15c1-9 (17 C.F.R. §§240.15c1-1 through 240.15c1-3 and
240.15c1-5 through 240.15c1-9) (4-1-14 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04539.
(26) SEC Rules 15c2-1, 15c2-4, 15c2-5,
15c2-7, 15c2-8, 15c2-11, and 15c2-12 (17 C.F.R. §§240.15c2-1,
240.15c2-4, 240.15c2-5, 240.15c2-7, 240.15c2-8, 240.15c2-11, and 240.15c2-12)
(4-1-21 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-15090.
(27) SEC Rule 15c3-1 and appendices (17
C.F.R. §§240.15c3-1; 240.15c3-1a; 240.15c3-1b; 240.15c3-1c;
240.15c3-1d; 240.15c3-1e; 240.15c3-1f; 240.15c3-1g (4-1-20 edition), accessible
at http://www.flrules.org/Gateway/reference.asp?No=Ref-12530.
(28) SEC Rule 15c3-3 and Exhibit A (17 C.F.R.
§§240.15c3-3 and 240.15c3-3a) (4-1-23 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16963.
(29) SEC Rules 15g-1 through 15g-6, 15g-8,
and 15g-9 (17 C.F.R.
§§
240.15g-1 through
240.15g-6,
240.15g-8 and
240.15g-9) (4-1-21 edition),
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-15092.
(30) Regulation Best Interest (17 C.F.R. §
240.15l-1) (4-1-22 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16482.
(31) SEC Rules 17a-3 and 17a-4 (17 C.F.R. §§
240.17a-3 and
240.17a-4) (4-1-22 edition as
amended in 88 F.R. 39994 (June 20, 2023)), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16483.
(32) SEC Rules 17a-5 (17 C.F.R. §
240.17a-5) (6-1-14) and 17a-10 (17 C.F.R. §
240.17a-10) (12-9-81), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04523.
(33) SEC Rules 17a-11 and 17a-14
(17 C.F.R. §§
240.17a-11 and
240.17a-14) (4-1-20 edition),
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12532.
(34) SEC Rule 17f-2 (17 C.F.R. §
240.17f-2) (4-1-13 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04533.
(35) Regulation M (17 C.F.R. §§
242.100 through
242.105) (4-1-23 edition),
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16964.
(36) Regulation SHO (17 C.F.R. §§
242.200-242.203) (4-1-22
edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16485.
(37) SEC Rule 601 (17 C.F.R. §
242.601) (4-1-14 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04543.
(38) Regulation S-P §248.30
(17 C.F.R. §
248.30) (4-1-18 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-11294.
(39) SEC Rules 204-1, 204-2, 204-3, 205-1,
205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1 (17 C.F.R. §§
275.204-1;
275.204-2;
275.204-3;
275.205-1;
275.205-2;
275.205-3; 275.206(3)-1;
275.206(3)-2; 275.206(4)-1 (4-1-23 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16965.
(40) FASB Rule ASC 946-210-50 (existing as of
7-5-23), available for inspection at the Office due to copyright
restrictions.
(41) FINRA Rules 1020
and 1240 (existing as of 5-7-24), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16966.
(42) FINRA Rule 2000 Series (2010 through
2370) (existing as of 5-7-24), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16967.
(43) FINRA Rule 3000 Series (3110 through
3310) (existing as of 5-7-24), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16968.
(44) FINRA Rule 4000 Series (4110 through
4590) (existing as of 5-7-24), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16969.
(45) FINRA Rule 5000 Series (5110 through
5350) (existing as of 5-7-24), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16971.
(46) FINRA Rule 6000 Series (6110 through
6898) (existing as of 5-7-24), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16972.
(47) FINRA Rule 7000 Series (7110 through
7730) (existing as of 5-7-24), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16973.
(48) FINRA Rule 11000 Series (11100 through
11900) (existing as of 5-8-24), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16974.
(49) MSRB Definitional Rules D-1 to D-15, and
General Rules G-1 to G-48 (existing as of 10-1-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16975.
(50) NYSE American Rule 341A (existing as of
7-5-23), available for inspection at the Office due to copyright
restrictions.
(51) NYSE Rule 345A
(existing as of 7-5-23), available for inspection at the Office due to
copyright restrictions.
(52) NYSE
Rules 412 and 435 (existing as of 2-21-19), available for inspection at the
Office due to copyright restrictions.
(53) NYSE Chicago Inc. Article 6, Rule 11
(existing as of 7-5-23), available for inspection at the Office due to
copyright restrictions.
Notes
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.
New 9-22-14, Amended 5-6-15, 11-26-19, 1-18-21, 2-14-23, 3-21-24.
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