Rule: 69W-1000.001 Prev   Up   Next

Rule Title: Disciplinary Guidelines
Department: DEPARTMENT OF FINANCIAL SERVICES    Add to MyFLRules Favorites
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Division: Securities
Chapter: DISCIPLINARY GUIDELINES

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

VIEW_RULE Effective Date: 1/18/2021
History Notes: Rulemaking Authority 517.1611(1) FS. Law Implemented 517.111, 517.121, 517.161, 517.1202, 517.1611(1), 517.191(4), 517.221(3), (4) FS. History–New 11-22-10, Amended 11-14-13, 5-6-15, 11-15-16, 12-10-19, 1-18-21.
References in this version: Ref-12591 Disciplinary Guidelines Final 12.18.20
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-1000.001
Disciplinary Guidelines 24066493 Effective:
01/18/2021
View Text Correction
69W-1000.001
Disciplinary Guidelines 23845333 11/5/2020
Vol. 46/217
View Text Proposed
69W-1000.001
The purpose and effect is to amend the Disciplinary Guidelines for Division 69W, Florida Administrative Code, incorporated by reference in Rule 69W-1000.001, F.A.C., in order to reflect current versions of FINRA rules and .... 23718457 10/2/2020
Vol. 46/193
View Text Development
69W-1000.001
The purpose and effect is to amend the Disciplinary Guidelines for Division 69W, Florida Administrative Code, incorporated by reference in Rule 69W-1000.001, F.A.C., in order to reflect current versions of FINRA rules and .... 23469167 7/28/2020
Vol. 46/146
View Text Final
69W-1000.001
Disciplinary Guidelines 22650972 Effective:
12/10/2019
View Text Change
69W-1000.001
Disciplinary Guidelines 22514978 10/22/2019
Vol. 45/206
View Text Proposed
69W-1000.001
The purpose and effect is to amend the Disciplinary Guidelines for Chapter 517, Florida Statutes, and Division 69W, Florida Administrative Code, incorporated by reference in Rule 69W-1000.001, F.A.C., in order to reflect .... 22252593 8/13/2019
Vol. 45/157
View Text Development
69W-1000.001
The purpose and effect is to amend the Disciplinary Guidelines for Chapter 517, Florida Statutes, and Division 69W, Florida Administrative Code incorporated by reference in Rule 69W-1000.001, F.A.C., in order to reflect .... 22021248 6/20/2019
Vol. 45/120
View Text Final
69W-1000.001
Disciplinary Guidelines 18221564 Effective:
11/15/2016
View Text Proposed
69W-1000.001
The Office proposes to amend the disciplinary guidelines in Rule 69W-1000.001, F.A.C., in order to remove guidelines for repealed rules, add guidelines for the new rules, and revise the guidelines for the amended rules. 17840936 8/4/2016
Vol. 42/151
View Text Development
69W-1000.001
The rule is proposed for amendment to update the disciplinary guidelines incorporated by reference in the rule. The Office proposes to make changes to disciplinary guidelines for violations of several subsections of Chapter .... 17687385 6/24/2016
Vol. 42/123
View Text Final
69W-1000.001
Disciplinary Guidelines 15917911 Effective:
05/06/2015
View Text Change
69W-1000.001
Disciplinary Guidelines 15710137 3/5/2015
Vol. 41/44
View Text Proposed
69W-1000.001
The proposed changes make conforming changes to the proposed repeal and adoption of certain rules described below. In addition, the changes adopt disciplinary guidelines for violations of sections of the Investment Advisers .... 15578605 1/29/2015
Vol. 41/19
View Text Workshop
69W-1000.001
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, ....
15344447 12/4/2014
Vol. 40/234
View Text Development
69W-1000.001
The rule is proposed for amendment to update the disciplinary guidelines incorporated by reference in the rule. The Office proposes to add disciplinary guidelines for violations of Rule 69W-600.004(3), relating to notice-filing .... 15277226 11/24/2014
Vol. 40/228
View Text Final
69W-1000.001
Disciplinary Guidelines 13734344 Effective:
11/14/2013
View Text Change
69W-1000.001
Disciplinary Guidelines 13597671 9/30/2013
Vol. 39/190
View Text Public Meeting
69W-1000.001
This is the Final Public Hearing on the adoption of proposed amendments to Rule 69W-1000.001, F.A.C., published on August 14, 2013, Vol. 39/158, ....
  September 24, 2013, 9:00 a.m., during a regular meeting of the ....
  Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
13499604 9/11/2013
Vol. 39/177
View Text Proposed
69W-1000.001
The proposed rule amendment updates the Office of Financial Regulation's (Office) disciplinary guidelines for Chapter 517, F.S., to specify sanctions for certain branch offices conducting securities transactions who fail .... 13343240 8/14/2013
Vol. 39/158
View Text Development
69W-1000.001
The proposed rule amendment updates the Office of Financial Regulation's (Office) disciplinary guidelines for Ch. 517, F.S., to specify sanctions for certain branch offices conducting securities transactions who fail to .... 13239062 7/16/2013
Vol. 39/137
View Text Final
69W-1000.001
Disciplinary Guidelines 9397959 Effective:
11/22/2010
View Text Public Hearing
69W-1000.001
This is the Final Public Hearing on the adoption of proposed Rule 69W-1000.001, F.A.C., published on August 20, 2010, in Vol. 36, No. 33 of ....
  October 12, 2010, 9:00 a.m., during a regular meeting of the ....
  Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, ....
9200564 10/1/2010
Vol. 36/39
View Text Proposed
69W-1000.001
Section 517.1611(1), F.S., requires the Financial Services Commission to adopt disciplinary guidelines for each ground for which disciplinary action may be imposed by the Office of Financial Regulation against individuals .... 8891619 8/20/2010
Vol. 36/33
View Text Development
69W-1000.001
Section 517.1611(1), F.S., requires the Financial Services Commission to adopt disciplinary guidelines for each ground for which disciplinary action may be imposed by the Office of Financial Regulation against individuals .... 8707125 5/28/2010
Vol. 36/21
View Text Development
69W-1000.001
During the regular 2009 legislative session, the Florida Legislature passed House Bill 483, relating to investor protection. The bill was signed into law on June 29, 2009, and took effect on July 1, 2009. A key provision .... 8072842 12/24/2009
Vol. 35/51