Rule: 69W-600.0133 Prev   Up   Next

Rule Title: Use of Senior - Specific Certifications and Professional Designations by Associated Persons and Investment Advisers
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: 9/22/2014
History Notes: Rulemaking Authority 517.03(1), 517.1215(2), 517.1217 FS. Law Implemented 517.1215(2), 517.1217, 517.161 FS. History–New 1-18-09, Amended 9-22-14.
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-600.0133
Use of Senior - Specific Certifications and Professional Designations by Associated Persons and Investment Advisers 15039770 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-600.0133
Use of Senior - Specific Certifications and Professional Designations by Associated Persons and Investment Advisers 6631519 Effective:
01/18/2009
View Text Public Hearing
69W-600.013
......
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
View Text Change
69W-600.0133
Use of Senior-Specific Certifications and Professional Designations by Associated Persons and Investment Advisers 6412784 11/14/2008
Vol. 34/46
View Text Proposed
69W-600.013
......
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
View Text Development
69W-600.013
......
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