Rules of Conduct, Prohibited Business Practices for Dealers and Their Associated Persons, Prohibited Business Practices for Investment Advisers and Their Associated Persons, Books and Records Requirements
DEPARTMENT OF FINANCIAL SERVICES
RULE NOS.:RULE TITLES:
69W-600.012Rules of Conduct
69W-600.013Prohibited Business Practices for Dealers and Their Associated Persons
69W-600.0131Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.014Books and Records Requirements
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. 42 No. 151, August 4, 2016 issue of the Florida Administrative Register.
Following comment by the Joint Administrative Procedures Committee, the following amendment is made to paragraph 69W-600.013(1)(l), F.A.C.:
69W-600.012Rules of Conduct
No change.
69W-600.013 Prohibited Business Practices for Dealers and Their Associated Persons
(1) The following are deemed demonstrations of unworthiness by a dealer under Section 517.161(1)(h), F.S., without limiting that term to the practices specified herein:
(a) through (k) No change.
(l) Recommending to a customer that the customer engage the services of an investment adviser in connection with which the dealer receives a fee or remuneration (other than directed business) from the investment adviser, unless the dealer is registered with the Office as an investment adviser pursuant to Rule 69W-600.0016, F.A.C. or notice-filed pursuant to Rule 69W-600.0017, F.A.C., except as permitted in Rule 69W-600.003, F.A.C.
(m) through (o) No change.
(2) No change.
69W-600.0131Prohibited Business Practices for Investment Advisers and Their Associated Persons
No change.
69W-600.014Books and Records Requirements
No change.
