Florida Administrative Code › 69 - DEPARTMENT OF FINANCIAL SERVICES › 69W - Securities › Chapter 69W-200 - DEFINITIONS › Section 69W-200.002 - General Industry Standards Incorporated by Reference

Current through Reg. 50, No. 138; July 16, 2024
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
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.
(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
				(1 5 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
				(1 5 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) (4-1-22 edition as
				amended in 87 FR 72846-72847 (Nov. 25, 2022) and 88 FR 17710 (Mar. 24, 2023)),
				accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16481
.
(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) (4-1-14 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)
				(4-1-21 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) (4-1-21 edition), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-15091
.
(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) (4-1-22 edition as
				amended in 88 F.R. 39994 (June 20, 2023)), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16484
.
(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 (4-1-21 edition as amended in 86 FR 13024,
				13138-13142 (Mar. 5, 2021) and 87 F.R. 22444, 22447 (April 15, 2022)),
				accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-15095
.
(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 7-5-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16486
.
(42) FINRA Rule 2000 Series (2010 through
				2370) (existing as of 7-5-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16489
.
(43) FINRA Rule 3000 Series (3110 through
				3310) (existing as of 7-5-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16490
.
(44) FINRA Rule 4000 Series (4110 through
				4590) (existing as of 7-5-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16491
.
(45) FINRA Rule 5000 Series (5110 through
				5350) (existing as of 7-5-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16493
.
(46) FINRA Rule 6000 Series (6110 through
				6898) (existing as of 7-5-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16494
.
(47) FINRA Rule 7000 Series (7110 through
				7730) (existing as of 7-5-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16495
.
(48) FINRA Rule 11000 Series (11100 through
				11900) (existing as of 7-5-23), accessible at
http://www.flrules.org/Gateway/reference.asp?No=Ref-16496
.
(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
http://www.flrules.org/Gateway/reference.asp?No=Ref-16497
.
(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.
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.