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 ....
DEPARTMENT OF FINANCIAL SERVICES
RULE NO.:RULE TITLE:
69W-1000.001Disciplinary Guidelines
PURPOSE AND EFFECT: 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 2024-168, Laws of Florida, and to update the Disciplinary Guidelines incorporated in the rule.
SUBJECT AREA TO BE ADDRESSED: Securities Regulation
RULEMAKING AUTHORITY: 517.1611(1), FS.
LAW IMPLEMENTED: 517.111, 517.121, 517.161, 517.1202, 517.1611(1), 517.191(4), (9), and (10), 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, Office of General Counsel, (850)410-9803, Ryann.White@flofr.gov.
THE PRELIMINARY TEXT OF THE PROPOSED RULE DEVELOPMENT IS NOT AVAILABLE.
Document Information
- Purpose:
- 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 2024-168, Laws of Florida, and to update the Disciplinary Guidelines incorporated in the rule.
- Rulemaking Authority:
- 517.1611(1), FS.
- Law:
- 517.111, 517.121, 517.161, 517.1202, 517.1611(1), 517.191(4), (9), and (10), FS.
- Related Rules: (1)
- 69W-1000.001. Disciplinary Guidelines