Disciplinary Guidelines  

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    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. 39, No. 158, August 14, 2013 issue of the Florida Administrative Register.

    [Pursuant to comments from the Joint Administrative Procedures Committee, the footnotes in the table incorporated by reference in the rule are amended as follows. A copy of the table with these changes is accessible at http://www.flofr.com/StaticPages/documents/69W-1000.001footnotechanges.pdf]

    Fine A = Up to $2,000; Fine B = $2,001 to $5,000; Fine C = $5,001 to $7,500; Fine D = $7,501 to $10,000 / Suspension A = Up to 5 days; Suspension B = 6 to 30 days; Suspension C = over 30 days

    Statutory authority: Fine – Section 517.221(3), Florida Statutes; Restriction – Section 517.161, Florida Statutes; Suspension, Revocation – Section 517.111 and 517.161, Florida Statutes; Summary Suspension – Section 517.121 and 517.1202, Florida Statutes; Bar – Section 517.221(4), Florida Statutes.

Document Information

Related Rules: (1)
69W-1000.001. Disciplinary Guidelines