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Materials Incorporated by Reference to Division of Securities Rules

Rule 69W-200.02, Florida Administrative Code

FINRA Rule 2210 (7-11-14)

SEC Rule 501(a) of Regulation D (17 C.F.R. § 230.501(a)) (9-23-13)

SEC Rule 15c3-1 (17 C.F.R. § 240.15c3-1) (7-7-14)

SEC Rule 206(4)-3 (17 C.F.R. § 275.206(4)-3) (4-1-14 edition)

NASD Rule 3010 (2-4-13)

SEC Rule 144A (17 C.F.R. § 230.144A(a)) (9-23-13)

Regulation S-X (17 C.F.R. Part 210) (4-1-13 edition)

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)

Section 15A of the Securities Exchange Act of 1934 (15 U.S.C. § 78o-3) (10-1-10)

Regulation A of the Securities Act of 1933 (17 C.F.R. §§ 230.251 through 230.263) (4-1-13 edition)

SEC Rule 144 (17 C.F.R. § 230.144) (4-1-13 edition)

Section 642(c)(5) of the Internal Revenue Code of 1954 (26 U.S.C. § 642(c)(5)) (1-23-02)

Regulation S (17 C.F.R. §§ 230.901 through 230.905) (4-1-13 edition)

Section 4(a)(2) of the Securities Act of 1933 (15 U.S.C. § 77d(a)(2)) (4-5-12)

SEC Rule 701 (17 C.F.R. § 230.701) (4-1-13 edition)

Section 3(a) of the Securities Act of 1933 (15 U.S.C. § 77c(a)) (7-9-12)

Securities Act of 1933 Section 5 (15 U.S.C. § 77e) (4-5-12); Section 6 (15 U.S.C. § 77f) (4-5-12); Section 7 (15 U.S.C. § 77g) (4-5-12); and  Section 8 (15 U.S.C. § 77h) (8-22-40)

SEC Rule 17f-2 (17 C.F.R. § 240.17f-2) (4-1-13 edition)

SEC Rule 10b-10 (17 C.F.R. § 240.10b-10) (7-7-14)

SEC Rule 17a-3 (17 C.F.R. § 240.17a-3) (4-1-14 edition)

Securities Exchange Act of 1934 Section 9 (15 U.S.C. § 78i) (2012); Section 10 (15 U.S.C. § 78j) (7-16-11); Section 11A (15 U.S.C. § 78k-1) (4-5-12); Section 15(c) and 15(g) (15 U.S.C. § 78o(c) and 78o(g)) (2012)

SEC Rule 9b-1 (17 C.F.R. § 240.9b-1) (4-1-14 edition)

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)

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)

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) (4-1-14 edition)

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) (4-1-14 edition)

Regulation M (17 C.F.R. § 242.100 through 242.105) (4-1-14 edition)

SEC Rule 601 (17 C.F.R. § 242.601) (4-1-14 edition)

Regulation T, Credit by Brokers and Dealers, (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)

SEC Rule 8c-1, (17 C.F.R. § 240.8c-1) (4-1-14 edition)

FINRA Rule 2000 Series (2010 through 2370) (existing as of 7-18-14)

FINRA Rule 3000 Series (only 3130, 3160, and 3220 through 3310) (existing as of 7-18-14)

FINRA Rule 4000 Series (4110 through 4570) (existing as of 7-18-14)

FINRA Rule 5000 Series (5110 through 5350) (existing as of 7-18-14)

FINRA Rule 6000 Series (6110 through 6770) (existing as of 7-18-14)

FINRA Rule 7000 Series (7110 through 7740) (existing as of 7-18-14)

NASD Conduct Rule 2000 Series (IM-2210-2 through 2830) (existing as of 7-18-14)

NASD Conduct Rule 3000 Series (3010 through 3170) (existing as of 7-18-14)

FINRA Uniform Practice Code Rule 11000 Series (11100 through 11900) (existing as of 7-18-14)

NYSE Rules 405 (7-14-11), 412 (9-15-08) and 435 (5-29-09)

Sections 2, 3, 4, 5 and 6 of the Securities Act of 1933, (15 U.S.C.A. §§ 77b, 77c, 77d, 77e and 77f) (4-5-12)

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)

Section 15(b)(4)(E) of the Securities Exchange Act of 1934 (15 U.S.C. § 78o(b)(4)(E)) (2012)

Regulation SHO, Regulation of Short Sales, (17 C.F.R. §§ 242.200-242.203) (4-1-14 edition)

Section 15B of the Securities Exchange Act of 1934 (15 U.S.C. § 78o-4) (10-1-10)

Sections 13 and 15D of the Securities Exchange Act of 1934 (15 U.S.C. §§ 78m (8-10-12) and 78o-6 (4-5-12))

Sections 204, 204A, 205, 206, 207, 208 of the Investment Advisers Act of 1940 (15 U.S.C.A. §§ 80b-4, 80b-4a, 80b-5, 80b-6, 80b-7, 80b-8) (2012)

SEC Rule 204-1 (17 C.F.R. § 275.204-1); 204-3 (17 C.F.R. § 275.204-3); Rule 205-1 (17 C.F.R. § 275.205-1); Rule 205-2 (17 C.F.R. § 275.205-2); Rule 205-3 (17 C.F.R. § 275.205-3); Rule 206(3)-1 (17 C.F.R. § 275.206(3)-1); Rule 206(3)-2 (17 C.F.R. § 275.206(3)-2); Rule 206(4)-1 (17 C.F.R. § 275.206(4)-1; Rule 206(4)-3 (17 C.F.R. § 275.206(4)-3, (4-1-14 edition)

The Investment Advisers Act of 1940 (15 U.S.C. § 80b-1 through 80b-21) (2012)

National Securities Markets Improvement Act of 1996 (Pub. L. 104-290) (10-11-96)

Section 4f(a) of the Commodity Exchange Act (7 U.S.C. § 6f) (2012)

Investment Company Act of 1940 (15 U.S.C. § 80a-1 through 80a-64) (2012)

SEC Rules 17a-3 and 17a-4 (17 C.F.R. §§ 240.17a-3 and 240.17a-4) (4-1-14 edition)

SEC Rule 204-2 (17 C.F.R. § 275.204-2) (4-1-13 edition)

SEC Rule 204-3 (17 C.F.R. § 275.204-3) (4-1-13 edition)

SEC Rule 15c3-1 and appendices (17 C.F.R. § 240.15c3-1 (7-7-14); 17 C.F.R. § 240.15c3-1a (7-7-14); 17 C.F.R. § 240.15c3-1b (8-9-84); 17 C.F.R. § 240.15c3-1c (12-2-92); 17 C.F.R. § 240.15c3-1d (6-5-08); 17 C.F.R. § 240.15c3-1e (7-7-14); 17 C.F.R. § 240.15c3-1f (7-7-14); 17 C.F.R. § 240.15c3-1g (7-7-14))

17 C.F.R. § 240.17a-11 (6-1-14)

SEC Rule 15c3-3 and Exhibit A (17 C.F.R. § 240.15c3-3 (4-1-14 edition) and 240.15c3-3a (7-7-14))

FINRA Rule 1250 (10-17-11)

NYSE Rule 345A (7-29-03)

NYSE MKT LLC Rule 341A (11-10-04)

Section 422 of the Internal Revenue Code (26 U.S.C. § 422) (11-5-90)

Employee Retirement Income Security Act of 1974 (Pub.L. 93-406) (4-7-14)

Section 501(c)(3) of the Internal Revenue Code (26 U.S.C. § 501(c)(3)) (3-30-10)

SEC Rule 15a-6(b)(4)(i) (17 C.F.R. § 240.15a-6) (4-1-14 edition)

Sections 856, 857 and 858 of the Internal Revenue Code of 1954 (26 U.S.C. §§ 856 (7-30-08), 857 (7-30-08), 858 (11-10-88))

Securities Exchange Act of 1934 (15 U.S.C. §§ 78a through 78pp) (2012)

SEC Rule 415 (17 C.F.R. § 230.415) (4-1-13 edition)

Section 10(a) of the Securities Act of 1933 (15 U.S.C. § 77j(a)) (8-10-54)

This page may not include all materials incorporated by reference in the division's rules.