Florida Regulations 69W-200.002: General Industry Standards Incorporated by Reference
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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) (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) (4-12-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15083.
(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) (4-1-21 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) (4-1-21 edition), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15085.
(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) (4-1-21 edition as amended in 87 F.R. 70166, 70199 (Dec. 9, 2021)), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15088.
(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) 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) (4-1-21 edition as amended in 86 F.R. 18596, 18809 (Apr. 9, 2021)), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15093.
(35) Regulation SHO (17 C.F.R. §§242.200-242.203) (4-1-21 edition as amended in 86 F.R. 18596, 18809 (Apr. 9, 2021)), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15094.
(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 (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.
(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 5-9-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15096.
(41) FINRA Rule 2000 Series (2010 through 2370) (existing as of 5-9-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15097.
(42) FINRA Rule 3000 Series (3110 through 3310) (existing as of 5-9-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15098.
(43) FINRA Rule 4000 Series (4110 through 4590) (existing as of 5-9-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15099.
(44) FINRA Rule 5000 Series (5110 through 5350) (existing as of 5-10-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15100.
(45) FINRA Rule 6000 Series (6110 through 6898) (existing as of 5-10-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15101.
(46) FINRA Rule 7000 Series (7110 through 7730) (existing as of 5-11-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15102.
(47) FINRA Rule 11000 Series (11100 through 11900) (existing as of 5-11-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15103.
(48) MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 (existing as of 10-1-21), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15105.
(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.
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. History-New 9-22-14, Amended 5-6-15, 11-26-19, 1-18-21, 2-14-23.
(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) (4-12-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15083.
(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) (4-1-21 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) (4-1-21 edition), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15085.
(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) (4-1-21 edition as amended in 87 F.R. 70166, 70199 (Dec. 9, 2021)), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15088.
(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) 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) (4-1-21 edition as amended in 86 F.R. 18596, 18809 (Apr. 9, 2021)), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15093.
(35) Regulation SHO (17 C.F.R. §§242.200-242.203) (4-1-21 edition as amended in 86 F.R. 18596, 18809 (Apr. 9, 2021)), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15094.
(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 (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.
(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 5-9-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15096.
(41) FINRA Rule 2000 Series (2010 through 2370) (existing as of 5-9-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15097.
(42) FINRA Rule 3000 Series (3110 through 3310) (existing as of 5-9-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15098.
(43) FINRA Rule 4000 Series (4110 through 4590) (existing as of 5-9-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15099.
(44) FINRA Rule 5000 Series (5110 through 5350) (existing as of 5-10-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15100.
(45) FINRA Rule 6000 Series (6110 through 6898) (existing as of 5-10-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15101.
(46) FINRA Rule 7000 Series (7110 through 7730) (existing as of 5-11-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15102.
(47) FINRA Rule 11000 Series (11100 through 11900) (existing as of 5-11-22), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15103.
(48) MSRB Definitional Rules D-1 to D-15, and General Rules G-1 to G-48 (existing as of 10-1-21), accessible at http://www.flrules.org/Gateway/reference.asp?No=Ref-15105.
(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.
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. History-New 9-22-14, Amended 5-6-15, 11-26-19, 1-18-21, 2-14-23.