Rule: 69W-600.013 Prev   Up   Next

Rule Title: Prohibited Business Practices for Dealers and Their Associated Persons
Department: DEPARTMENT OF FINANCIAL SERVICES    Add to MyFLRules Favorites
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):

VIEW_RULE Effective Date: 1/18/2021
History Notes: Rulemaking Authority 517.03(1), 517.1217 FS. Law Implemented 517.081, 517.1217, 517.161(1) FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.13, Amended 8-1-91, 6-16-92, 1-11-93, 11-7-93, 5-5-94, 9-9-96, 10-20-97, 1-25-00, 10-30-03, Formerly 3E-600.013, Amended 10-23-06, 1-18-09, 11-22-10, 9-22-14, 11-15-16, 11-26-19, 1-18-21.
References in this version: Ref-11278 OFR-S-13-97 Florida Guide to Small Business Investments Effective 11-22-10
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.013
Prohibited Business Practices for Dealers and Their Associated Persons 24065814 Effective:
01/18/2021
View Text Correction
69W-600.001
......
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
View Text Proposed
69W-600.001
......
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
View Text Development
69W-600.001
......
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
View Text Development
69W-600.001
......
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
View Text Final
69W-600.013
Prohibited Business Practices for Dealers and Their Associated Persons 22603442 Effective:
11/26/2019
View Text Proposed
69W-600.001
......
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
View Text Development
69W-600.001
......
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
View Text Final
69W-600.013
Prohibited Business Practices for Dealers and Their Associated Persons 18221176 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 Petition
69W-600.013
Synovus Securities, Inc. on May 4, 2016.
  The Petition seeks a declaratory statement from the Office regarding the ability to share commissions in accordance with FINRA Rule ....
17508905 5/9/2016
Vol. 42/90
View Text Final
69W-600.013
Prohibited Business Practices for Dealers and Their Associated Persons 15039479 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-600.013
Prohibited Business Practices for Dealers and Their Associated Persons 9396407 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-600.013
Prohibited Business Practices for Dealers and Their Associated Persons 6631131 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 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
View Text Final
69W-600.013
Prohibited Business Practices for Dealers and Their Associated Persons 3060561 Effective:
10/23/2006
View Text Change
69W-600.013
Prohibited Business Practices for Dealers and Their Associated Persons 655252 9/1/2006
Vol. 32/35
View Text Proposed
69W-600.013
On August 29, 2003, the Securities and Exchange Commission (SEC) approved the adoption of Rule 2370 of the National Association of Securities Dealers (“NASD”), which prohibited registered persons from borrowing money from .... 157739 2/24/2006
Vol. 32/08
View Text Final
69W-600.013
Prohibited Business Practices for Dealers and Their Associated Persons 2865397 Effective:
10/30/2003