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 ....  

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    DEPARTMENT OF FINANCIAL SERVICES

    Securities

    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