Books and Records Requirements (Ch. 69W-600; Department of Financial Services)
Fla. Admin. Code R. 69W-600.014
Florida Administrative Code
Rule: 69W-600.014
Rule Title: Books and Records Requirements
Department:
DEPARTMENT OF FINANCIAL SERVICES
Division:
Securities
Chapter:
REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
Effective Date:
3/21/2024
History Notes:
Rulemaking Authority 517.03(1) , 517.121(1) , 517.1215 FS. Law Implemented 517.121(1) , 517.1215 FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.14, Amended 10-14-90, 8-1-91, 6-16-92, 1-11-93, 9-9-96, 6-22-98, 1-25-00, 10-30-03, Formerly 3E-600.014, Amended 10-23-06, 5-15-07, 11-22-10, 11-11-13, 9-22-14, 5-6-15, 11-15-16, 11-26-19, 1-18-21, 2-14-23, 3-21-24.
References in this version:
No reference(s).
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section
Description
Publish
Date
Final
69W-600.014
Books and Records Requirements
Effective:
03/21/2024
Proposed
69W-600.001
......
The purpose and effect is to conform the rules to
Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority ....
1/17/2024
Vol. 50/11
Development
69W-600.001
......
The purpose and effect is to conform the rules to
Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority ....
8/11/2023
Vol. 49/156
Final
69W-600.014
Books and Records Requirements
Effective:
02/14/2023
Public Hearing
69W-600.001
......
This is a public hearing to discuss the proposed rulemaking of Rules 69W-600.001, 69W-600.0011, 69W-600.0012, 69W-600.0013, 69W-600.0016, 69W-600.002, ....
December 13, 2022, 10:00 a.m.
101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, ....
12/5/2022
Vol. 48/234
Proposed
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration ....
9/30/2022
Vol. 48/191
Development
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration ....
9/12/2022
Vol. 48/177
Final
69W-600.014
Books and Records Requirements
Effective:
01/18/2021
Correction
69W-600.001
......
Application for Registration as a Dealer (FINRA), Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer, Canadian Dealer Notice-Filing, Application for ....
11/4/2020
Vol. 46/216
Proposed
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) ....
10/2/2020
Vol. 46/193
Development
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) ....
9/3/2020
Vol. 46/173
Development
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) ....
7/28/2020
Vol. 46/146
Final
69W-600.014
Books and Records Requirements
Effective:
11/26/2019
Proposed
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove ....
8/13/2019
Vol. 45/157
Development
69W-600.001
......
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove ....
6/20/2019
Vol. 45/120
Final
69W-600.014
Books and Records Requirements
Effective:
11/15/2016
Change
69W-600.012
......
Rules of Conduct, Prohibited Business Practices for Dealers and Their Associated Persons, Prohibited Business Practices for Investment Advisers and Their Associated Persons, Books and Records Requirements....
8/22/2016
Vol. 42/163
Correction
69W-600.012
......
Rules of Conduct, Prohibited Business Practices for Dealers and Their Associated Persons, Prohibited Business Practices for Investment Advisers and Their Associated Persons, Books and Records Requirements....
8/10/2016
Vol. 42/155
Proposed
69W-600.0012
......
The Office proposes to amend Rules 69W-600.012, .013, .0131, and .014, F.A.C., to update references to repealed rules. Additionally, the Office proposes to amend Rule 69W-600.014, F.A.C., in order to amend recordkeeping ....
8/4/2016
Vol. 42/151
Development
69W-600.012
......
The Office proposes to amend Rules 69W-600.012, .013, .0131, and .014, F.A.C., to update references to repealed rules. Additionally, the Office proposes to amend Rule 69W-600.014, F.A.C., to add certain recordkeeping requirements ....
6/24/2016
Vol. 42/123
Final
69W-600.014
Books and Records Requirements
Effective:
05/06/2015
Proposed
69W-600.014
The purpose and effect of these proposed amendments are to increase accountability and protection of client funds and securities in the event they are inadvertently held or obtained by the investment adviser.
1/29/2015
Vol. 41/19
Workshop
69W-600.0131
......
Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, ....
December 18, 2014, 1:30 p.m.
Room B103, Office of Financial Regulation, 200 East Gaines Street, ....
12/4/2014
Vol. 40/234
Development
69W-600.0131
......
The Office proposes to amend rules 69W-600.0131, .0132, and .014; repeal rules 69W-600.015 and .016, and create new rules 69W-600.0151 and .0161. Rule 600.0131 is proposed to be amended to require Florida state registered ....
11/24/2014
Vol. 40/228
Final
69W-600.014
Books and Records Requirements
Effective:
09/22/2014
Public Meeting
69W-600.006
......
This is the Final Public Hearing on the adoption of proposed amendments to these rules, originally published on May 19, 2014, Vol. 40, No. 97, ....
August 19, 2014, 9:00 a.m., during a regular meeting of the ....
Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
8/4/2014
Vol. 40/150
Change
69W-600.006
......
Fingerprint Requirements, Rules of Conduct, Prohibited Business Practices for Dealers and Their Associated Persons, Prohibited Business Practices for Investment Advisers and Their Associated Persons, ....
6/10/2014
Vol. 40/112
Proposed
69W-600.006
......
The rules are proposed for amendment to: update references to incorporated material; correct cross-references; adopt FINRA 3240 in whole in Rule 69W-600.013 (previously adopted only in part); adopt MSRB Definitional Rules ....
5/19/2014
Vol. 40/97
Development
69W-600.006
......
The rules are proposed for amendment to update references to incorporated material. The Office of Financial Regulation proposes to consolidate all material incorporated by reference in
Chapter 69W, F.A.C. into a new proposed ....
4/15/2014
Vol. 40/73
Final
69W-600.014
Books and Records Requirements
Effective:
11/11/2013
Public Meeting
69W-600.001
......
This is the Final Public Hearing on the adoption of proposed amendments to Rule 69W-600.001, .002, .004, .006, .007, .008, .009, .0091, .0092, ....
September 24, 2013, 9:00 a.m., during a regularly scheduled ....
Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
9/11/2013
Vol. 39/177
Proposed
69W-600.001
......
The proposed rule amendments amend 11 rules regarding the registration of dealers, investment advisers, and associated persons, generally to reflect statutory changes as a result of Chapters 2013-201 and 2013-202, Laws of ....
8/14/2013
Vol. 39/158
Development
69W-600.001
......
The proposed rule amendments amend 11 rules regarding the registration of dealers, investment advisers, and associated persons, generally to reflect statutory changes as a result of Chapters 2013-201 and 2013-202, Laws of ....
7/16/2013
Vol. 39/137
Final
69W-600.014
Books and Records Requirements
Effective:
11/22/2010
Public Hearing
69W-600.001
......
This is the Final Public Hearing on the adoption of proposed amendments to Rules 69W-600.001, .0015, .002, .004, .005, .006, .007, .008, .009, ....
October 12, 2010, 9:00 a.m., during a regular meeting of the ....
Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
10/1/2010
Vol. 36/39
Proposed
69W-600.001
......
The rules are amended to reflect the latest versions of materials incorporated by reference in the rules, including federal regulations, federal statutes, forms, Financial Industry Regulatory Authority (FINRA) rules, New ....
8/20/2010
Vol. 36/33
Development
69W-600.001
......
The rules are amended to update references to materials not included within Florida law, including agency forms, federal statutes, federal regulations, Financial Industry Regulatory Authority (FINRA) forms and rules, New ....
12/24/2009
Vol. 35/51
Final
69W-600.014
Books and Records Requirements
Effective:
05/15/2007
Proposed
69W-600.001
......
Chapter 2006-213, Laws of Florida, contains amendments to
Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing ....
2/23/2007
Vol. 33/08
Development
69W-600.001
......
Chapter 2006-213, Laws of Florida, contains amendments to
Chapter 517, Florida Statutes, relating to the Florida Securities and Investors Protection Act. This law contains a number of provisions relating to the licensing ....
12/22/2006
Vol. 32/51
Final
69W-600.014
Books and Records Requirements
Effective:
10/23/2006
Change
69W-600.0131
......
Prohibited Business Practices for Investment Advisers and Their Associated Persons, Custody Requirements for Investment Advisers, Books and Records Requirements
9/1/2006
Vol. 32/35
Proposed
69W-600.014
......
Section 517.1215(1), Florida Statutes, requires the Commission to specify by rule requirements for investment advisers deemed to have custody of client funds. The statute requires that the following areas be addressed: (a) ....
2/24/2006
Vol. 32/08
Final
69W-600.014
Books and Records Requirements
Effective:
10/30/2003