Notice: 157739
Notice of Proposed Rule
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview

RULE:
69W-600.013   Prohibited Business Practices for Dealers and Their Associated Persons
RULEMAKING AUTHORITY: 517.03(1) FS., 517.081 FS., 517.1217 FS.
LAW: 517.12(1) FS., 517.081 FS., 517.1217 FS., 517.161(1) FS.
PRINT PUBLISH DATE: 2/24/2006   Vol. 32/08
COMMENTS: From 2/24/2006 To 3/17/2006 (21 Days)
The public comment period for this notice has already expired.
REFERENCE MATERIALS: No reference(s).