The purpose and effect is to amend the Disciplinary Guidelines for Chapter 517, Florida Statutes, and Division 69W, Florida Administrative Code incorporated by reference in Rule 69W-1000.001, F.A.C., in order to reflect current versions of FINRA ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NO.:RULE TITLE:

69W-1000.001Disciplinary Guidelines

PURPOSE AND EFFECT: The purpose and effect is to amend the Disciplinary Guidelines for Chapter 517, Florida Statutes, and 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order to reflect current versions of FINRA rules and other materials incorporated by reference, remove guidelines for repealed rules, revise the guidelines to reflect appropriate sanctions, reorder the guidelines to improve organization, and remove redundancies.

SUBJECT AREA TO BE ADDRESSED: Securities Regulation

RULEMAKING AUTHORITY: 517.1611(1) FS.

LAW IMPLEMENTED: 517.11, 517.121, 517.161, 517.1202, 517.1611(1), 517.191(4), 517.221(3), 517.221(4) 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: Ryann White, Division of Securities, [phone], [e-mail].

 

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