Disciplinary Guidelines

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NO.:RULE TITLE:

69W-1000.001Disciplinary Guidelines

NOTICE OF CHANGE

Notice is hereby given that the following changes have been made to the proposed rule in accordance with subparagraph 120.54(3)(d)1., F.S., published in Vol. 45 No. 157, August 13, 2019 issue of the Florida Administrative Register.

The Office revises the Disciplinary Guidelines for chapter 517, Florida Statutes (F.S.) and Division 69W, Florida Administrative Code (F.A.C.) (effective XX-19) incorporated by reference in Rule 69W-1000.001, F.A.C., as follows:

Violation 101 is revised to accurately reflect the title of FINRA Rule 4530 to which it pertains.

Violation 172 is clarified to indicate that it only pertains to Dealers.

Violation 175 is clarified to indicate that it pertains to Dealers, Issuers, and Advisers.