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.
(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.
(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.
(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.
(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.
(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.
(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.
(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
Fla. Admin. Code Ann. R.
69W-200.002
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.
Adopted by
Florida
Register Volume 40, Number 175, September 9, 2014 effective
9-22-14, Amended by
Florida
Register Volume 41, Number 077, April 21, 2015 effective
5-6-15, Amended by
Florida
Register Volume 45, Number 221, November 13, 2019 effective
11-26-19, Amended
by
Florida
Register Volume 47, Number 002, January 5, 2021 effective
1-18-21.