DEPARTMENT OF FINANCIAL SERVICES
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. 41 No. 19, January 29, 2015 issue of the Florida Administrative Register.
Following comment by the Joint Administrative Procedures Committee, the following changes are made:
69W-1000.001 Disciplinary Guidelines.
(1) Pursuant to Section 517.1611, F.S., disciplinary guidelines applicable to each ground for which disciplinary action may be imposed by the Office against an individual or a firm under Chapter 517, F.S., are hereby adopted. The disciplinary guidelines are contained in Office of Financial Regulation Disciplinary Guidelines for Chapters 517, Florida Statutes (F.S.) and 69W, Florida Administrative Code (F.A.C.) (effective 5-6-15) “Office of Financial Regulation, Division of Securities, Disciplinary Guidelines for Dealers, Investment Advisers and Associated Persons”, which is hereby incorporated by reference. A copy of the disciplinary guidelines may be obtained by mail from the Florida Office of Financial Regulation, Division of Securities, 200 E. Gaines Street, Tallahassee, Florida 32399, or may be obtained electronically through the following website: http://www.flrules.org/ ____________.
(2) through (9) No change.
Rulemaking Authority 517.1611(1) FS. Law Implemented 517.111, 517.121, 517.161, 517,1202, 517.1611(1), 517.191(4), 517.221(3), (4) FS. History–New 11-22-10, Amended 11-14-13, .
