Notice: 6134685
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
69W-600.0131   Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.0133   Use of Senior - Specific Certifications and Professional Designations by Associated Persons and Investment Advisers
RULEMAKING AUTHORITY: 517.03(1), 517.1215(2), 517.1217 FS.
LAW: 517.081, 517.12, 517.1215, 517.1217, 517.161 FS.
PRINT PUBLISH DATE: 9/26/2008   Vol. 34/39
COMMENTS: From 9/26/2008 To 10/17/2008 (21 Days)
The public comment period for this notice has already expired.
REFERENCE MATERIALS: No reference(s).