Rule: 69W-600.012 Prev   Up   Next

Rule Title: Rules of Conduct
Department: DEPARTMENT OF FINANCIAL SERVICES    Add to MyFLRules Favorites
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Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Latest version of the final adopted rule presented in Florida Administrative Code (FAC):

VIEW_RULE Effective Date: 11/15/2016
History Notes: Rulemaking Authority 517.03(1) FS. Law Implemented 517.121, 517.301(1) FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.12, Amended 12-25-89, 10-14-90, 8-1-91, 6-16-92, 1-11-93, 4-11-94, 1-3-99, 8-19-99, 10-30-03, Formerly 3E-600.012, Amended 11-22-10, 9-22-14, 11-15-16.
References in this version: No reference(s).
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.012
Rules of Conduct 18221079 Effective:
11/15/2016
View Text 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.... 17904665 8/22/2016
Vol. 42/163
View Text 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.... 17860918 8/10/2016
Vol. 42/155
View Text 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The Office proposes to amend Rules 69W-600.012, .013, .0131, and .014, F.A.C., to update references to repealed rules.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 .... 17686997 6/24/2016
Vol. 42/123
View Text Final
69W-600.012
Rules of Conduct 15039382 Effective:
09/22/2014
View Text 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, ....
14896889 8/4/2014
Vol. 40/150
View Text 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, .... 14666611 6/10/2014
Vol. 40/112
View Text 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 .... 14550211 5/19/2014
Vol. 40/97
View Text 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 .... 14449913 4/15/2014
Vol. 40/73
View Text Final
69W-600.012
Rules of Conduct 9396310 Effective:
11/22/2010
View Text 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, Continuing Education Requirements.... 9209294 10/8/2010
Vol. 36/40
View Text 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, ....
9199788 10/1/2010
Vol. 36/39
View Text 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 .... 8904423 8/20/2010
Vol. 36/33
View Text 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 .... 8074685 12/24/2009
Vol. 35/51
View Text Final
69W-600.012
Rules of Conduct 2865300 Effective:
10/30/2003