Rule: 69W-600.0131 Prev Up Next
| Rule Title: Prohibited Business Practices for Investment Advisers and Their Associated Persons | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
 Add to MyFLRules Favorites |
|
| Division: | Securities | ||
| Chapter: | REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS | ||
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
|
Effective Date: | 3/21/2024 |
| History Notes: | Rulemaking Authority 517.03(1), 517.1215 FS. Law Implemented 517.12(3), 517.1215, 517.161(1) FS. History–New 1-25-00, Amended 10-30-03, Formerly 3E-600.0131, Amended 10-23-06, 1-18-09, 11-22-10, 9-22-14, 5-6-15, 11-15-16, 11-26-19, 1-18-21, 2-14-23, 3-21-24. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
|
|---|---|---|---|---|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons | 28115855 |
Effective: 03/21/2024 |
|
|
|
The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27941934 |
1/17/2024 Vol. 50/11 |
|
|
|
The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27426282 |
8/11/2023 Vol. 49/156 |
|
|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons | 26782493 |
Effective: 02/14/2023 |
|
|
|
This is a public hearing to discuss the proposed rulemaking of Rules 69W-600.001, 69W-600.0011, 69W-600.0012, 69W-600.0013, 69W-600.0016, 69W-600.002, .... December 13, 2022, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, .... |
26599066 |
12/5/2022 Vol. 48/234 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26344344 |
9/30/2022 Vol. 48/191 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26274795 |
9/12/2022 Vol. 48/177 |
|
|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons | 24065911 |
Effective: 01/18/2021 |
|
|
|
Application for Registration as a Dealer (FINRA), Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer, Canadian Dealer Notice-Filing, Application for .... | 23841356 |
11/4/2020 Vol. 46/216 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... | 23718166 |
10/2/2020 Vol. 46/193 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... | 23611078 |
9/3/2020 Vol. 46/173 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... | 23468973 |
7/28/2020 Vol. 46/146 |
|
|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons | 22603539 |
Effective: 11/26/2019 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove .... | 22252787 |
8/13/2019 Vol. 45/157 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove .... | 22020472 |
6/20/2019 Vol. 45/120 |
|
|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons | 18221273 |
Effective: 11/15/2016 |
|
|
|
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 |
|
|
|
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 |
|
|
|
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., in order to amend recordkeeping .... | 17839481 |
8/4/2016 Vol. 42/151 |
|
|
|
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 |
|
|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons | 15917232 |
Effective: 05/06/2015 |
|
|
|
The Office proposes to amend rule 69W-600.0131 to add new prohibited business practices for investment advisers and associated persons: 1) violations of SEC Rule 204-1 (to be incorporated in 69W-200.002) which requires, .... | 15564831 |
1/29/2015 Vol. 41/19 |
|
|
|
Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, .... December 18, 2014, 1:30 p.m. Room B103, Office of Financial Regulation, 200 East Gaines Street, .... |
15344350 |
12/4/2014 Vol. 40/234 |
|
|
|
The Office proposes to amend rules 69W-600.0131, .0132, and .014; repeal rules 69W-600.015 and .016, and create new rules 69W-600.0151 and .0161. Rule 600.0131 is proposed to be amended to require Florida state registered .... | 15277032 |
11/24/2014 Vol. 40/228 |
|
|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons | 15039576 |
Effective: 09/22/2014 |
|
|
|
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 |
|
|
|
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 |
|
|
|
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 |
|
|
|
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 |
|
|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons | 9396504 |
Effective: 11/22/2010 |
|
|
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 |
|
|
|
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 |
|
|
|
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 |
|
|
|
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 |
|
|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons | 6631422 |
Effective: 01/18/2009 |
|
|
|
This is the Final Public Hearing on the adoption of proposed Rules 69W-600.013, 69W-600.0131, and 69W-600.0133, Florida Administrative Code, .... December 9, 2008, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
6455561 |
11/26/2008 Vol. 34/48 |
|
|
|
The use of a designation or a certification by associated persons or investment advisers confers an impression with senior citizens or retirees that the associated person or investment adviser has special qualifications .... | 6134685 |
9/26/2008 Vol. 34/39 |
|
|
|
Rule 69W-600.0133, F.A.C., is being proposed to prohibit the use of a senior specific certification or designation in connection with the offer, sale or purchase of securities or the provision of advice as the advisability .... | 5753087 |
6/20/2008 Vol. 34/25 |
|
|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons | 3060658 |
Effective: 10/23/2006 |
|
|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons, Custody Requirements for Investment Advisers, Books and Records Requirements | 655349 |
9/1/2006 Vol. 32/35 |
|
|
|
Section 517.1215(1), Florida Statutes, requires the Commission to specify by rule requirements for investment advisers deemed to have custody of client funds. The statute requires that the following areas be addressed: (a) .... | 157836 |
2/24/2006 Vol. 32/08 |
|
|
|
Prohibited Business Practices for Investment Advisers and Their Associated Persons | 2865494 |
Effective: 10/30/2003 |
|