Notice: 17686997
Notice of Development of Rulemaking
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview


RULE:
69W-600.012   Rules of Conduct
69W-600.013   Prohibited Business Practices for Dealers and Their Associated Persons
69W-600.0131   Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.014   Books and Records Requirements
RULEMAKING AUTHORITY: 517.03(1), 517.121(1), 517.1215, 517.1217 FS.
LAW: 517.121, 517.301(1), 517.081, 517.1217, 517.161(1), 517.12(4), 517.1215 FS.
PRINT PUBLISH DATE: 6/24/2016   Vol. 42/123

RELATED STATUTES
AND LAWS:
517.03(1), 517.121(1), 517.1215, 517.1217 FS., 517.121, 517.301(1), 517.081, 517.1217, 517.161(1), 517.12(4), 517.1215 FS.

OVERSIGHT COMMITTEE: Joint Administrative Procedures Committee
Florida Administrative Law Central Online Network (F.A.L.C.O.N.)

RELATED COURT CASES: Division of Administrative Hearings

FEDERAL eRULEMAKING
WEB PORTAL:
Regulations.gov

HOW TO LINK TO
THIS NOTICE:
http://www.flrules.org/gateway/ruleno.asp?id=69W-600.012&PDate=6/24/2016&Section=1
REFERENCE MATERIALS: No reference(s).