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 of branch offices; ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NO.:RULE TITLE:

69W-1000.001Disciplinary Guidelines

PURPOSE AND EFFECT: 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 subsection 69W-600.004(3), F.A.C., relating to notice-filing of branch offices; sections of the Investment Advisers Act of 1940 cited in paragraph 69W-600.0131(1)(a), F.A.C.; and proposed additions of SEC Rules 204-1 and 206(4)-7 in paragraph 69W-600.0131(1)(a) and Rule 69W-200.002, F.A.C.

SUBJECT AREA TO BE ADDRESSED: Securities Regulation.

RULEMAKING AUTHORITY: 517.1611(1) FS.

LAW IMPLEMENTED: 517.1611(1), 517.191(4), 517.221(3) FS.

IF REQUESTED IN WRITING AND NOT DEEMED UNNECESSARY BY THE AGENCY HEAD, A RULE DEVELOPMENT WORKSHOP WILL BE NOTICED IN THE NEXT AVAILABLE FLORIDA ADMINISTRATIVE REGISTER.

THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE DEVELOPMENT AND A COPY OF THE PRELIMINARY DRAFT, IF AVAILABLE, IS: John Kim, [phone], [e-mail]; Meredith Stanfield, [phone], [e-mail]

THE PRELIMINARY TEXT OF THE PROPOSED RULE DEVELOPMENT IS NOT AVAILABLE.