Reference: Ref-03347
| Reference Name: | Division of Securities Disciplinary Guidelines for Dealers, Investment Advisers and Associated Persons Incorporated by Reference in Rule 69W-1000.001, F.A.C., |
| Agency: | 69 Department of Financial Services 69W Securities |
| Original Document(s): |
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| Modified Document(s): | No Modified document(s). | |||||
| Description: | Division of Securities Disciplinary Guidelines for Dealers, Investment Advisers and Associated Persons Incorporated by Reference in Rule 69W-1000.001, F.A.C., | |||||
Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.
Rules/Notices using this Reference Material| Notice / Adopted |
Description | ID | Publish Date |
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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 |
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Disciplinary Guidelines | 13734344 |
Effective: 11/14/2013 |
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