Fla. Admin. Code Ann. R. 69W-600.017 - Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
All Dealer applicants and registrants subject to the net capital provisions of subsection 69W-600.0151(2), F.A.C., shall be required to prepare and maintain such records and accounts as specified in, and to comply in all other respects with, the provisions of SEC Rule 15c3-3 and Exhibit A ( 17 C.F.R. §240.15c3-3 and 240.15c3-3a), which are incorporated by reference in Rule 69W-200.002, F.A.C.
Notes
Rulemaking Authority 517.03(1), 517.12(8), 517.121(2) FS. Law Implemented 517.12(8), 517.121(2) FS.
New 12-5-79, Formerly 3E-600.17, Amended 6-16-92, Formerly 3E-600.017, Amended 11-22-10, 9-22-14, 11-26-19.
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All Dealer applicants and registrants subject to the net capital provisions of subsection 69W-600.0151(2), F.A.C., shall be required to prepare and maintain such records and accounts as specified in, and to comply in all other respects with, the provisions of SEC Rule 15c3-3 and Exhibit A ( 17 C.F.R. §240.15c3-3 and 240.15c3-3a), which are incorporated by reference in Rule 69W-200.002, F.A.C.
Notes
Rulemaking Authority 517.03(1), 517.12(8), 517.121(2) FS. Law Implemented 517.12(8), 517.121(2) FS.
New 12-5-79, Formerly 3E-600.17, Amended 6-16-92, Formerly 3E-600.017, Amended 11-22-10, 9-22-14, 11-26-19.