Fla. Admin. Code Ann. R. 69W-200.002 - General Industry Standards Incorporated by Reference
Current through Reg. 47, No. 249; December 28, 2021
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, (850)487-9687 or the Florida Department of State at 500 S. Bronough Street, Tallahassee, Florida 32399, (850)245-6500.
(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)
(6-4-19), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-11282.
(3) Securities Exchange Act of 1934
(15
U.S.C. §§
78a through
78qq)
(4-3-19), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-11283.
(4) Investment Company Act of 1940
(15 U.S.C. §§
80a-1 through
80a-64)
(4-3-19), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-11284.
(5) The Investment Advisers Act of 1940
(15
U.S.C. §§
80b-1 through
80b-21) (3-11-19),
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-11285.
(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)
(4-1-18 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-11288.
(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)
(4-1-13 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04557.
(15) SEC Rule 144A (17
C.F.R. §
230.144A(a) )
(9-23-13), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04521.
(16) Regulation A (17 C.F.R. §§
230.251 through
230.263)
(4-1-20 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12527.
(17) SEC Rule 415 (17 C.F.R.
§
230.415) (4-1-18 edition), accessible
at http://www.flrules.org/Gateway/reference.asp?No=Ref-11290.
(18) SEC Rule 501(a) of Regulation D
(17
C.F.R. §
230.501(a) )
(4-1-18 Edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-11291.
(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)
(4-1-14 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04538.
(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)
(4-1-20 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12529.
(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 (4-1-14 edition) and 240.15c3-3a (7-7-14)), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-04573.
(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)
(4-1-18 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-11293.
(30) SEC Rules 17a-3 and 17a-4 (17
C.F.R. §§
240.17a-3 and
240.17a-4)
(4-1-20 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12531.
(31) 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.
(32) 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.
(33) 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.
(34) Regulation M (17 C.F.R.
§§
242.100 through
242.105)
(4-1-20 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12533.
(35) Regulation SHO (17 C.F.R. §§
242. 200-242.203) (4-1-20 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12534.
(36) 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.
(37) 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.
(38) SEC Rules 204-1, 204-2, 204-3, 205-1,
205-2, 205-3, 206(3)-1, 206(3)-2, 206(4)-1, 206(4)-3 (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; 275.206(4)-3) (4-1-20 edition),
accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12535.
(39) FASB Rule ASC 946-210-50 (existing as of
2-3-15), available for inspection at the Office due to copyright
restrictions.
(40) FINRA Rules 1020
and 1240 (existing as of 6-26-20), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12537.
(41) FINRA Rule 2000 Series (2010 through
2370) (existing as of 6-24-20), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12540.
(42) FINRA Rule 3000 Series (3110 through
3310) (existing as of 6-24-20), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12541.
(43) FINRA Rule 4000 Series (4110 through
4590) (existing as of 6-24-20), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12542.
(44) FINRA Rule 5000 Series (5110 through
5350) (existing as of 6-24-20), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12543.
(45) FINRA Rule 6000 Series (6110 through
6898) (existing as of 6-25-20), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12544.
(46) FINRA Rule 7000 Series (7110 through
7730) (existing as of 6-25-20), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12545.
(47) FINRA Rule 11000 Series (11100 through
11900) (existing as of 6-26-20), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12546.
(48) MSRB Definitional Rules D-1 to D-15, and
General Rules G-1 to G-48 (existing as of 10-1-19), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-12547.
(49) NYSE American Rule 341A (existing as of
3-11-19), available for inspection at the Office due to copyright
restrictions.
(50) NYSE Rule 345A
(existing as of 3-10-19), available for inspection at the Office due to
copyright restrictions.
(51) NYSE
Rules 412 and 435 (existing as of 2-21-19), available for inspection at the
Office due to copyright restrictions.
(52) NYSE Chicago Inc. Article 6, Rule 11
(existing as of 3-11-19), 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.
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