Fla. Admin. Code R. 69W-600.017

Current through Reg. 50, No. 124; June 25, 2024

Section 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.

Fla. Admin. Code Ann. R. 69W-600.017

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, Amended by Florida Register Volume 40, Number 175, September 9, 2014 effective 9/22/2014, Amended by Florida Register Volume 45, Number 221, November 13, 2019 effective 11/26/2019.

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.