Published on: 28543431. The purpose and effect is to clarify when the Office may consider mitigating and aggravating circumstances in determining an appropriate sanction for each violation of a ground for disciplinary action, to implement Chapter ....
Published on: 28472815. The purpose and effect is to clarify when the Office may consider mitigating and aggravating circumstances in determining an appropriate sanction for each violation of a ground for disciplinary action, to implement Chapter ....
Published on: 23718457. 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 ....
Published on: 23469167. 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 other materials incorporated by reference.