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Ref-03347 Division of Securities Disciplinary Guidelines for Dealers, Investment Advisers and Associated Persons Incorporated by Reference in Rule 69W-1000.001, F.A.C.,

69W-1000.001.pdf

Division of Securities Disciplinary Guidelines for Dealers, Investment Advisers and Associated Persons Incorporated by Reference in Rule 69W-1000.001, F.A.C., 10/23/2013

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Agency:: Department of Financial Services
69W. Securities

Description:: Division of Securities Disciplinary Guidelines for Dealers, Investment Advisers and Associated Persons Incorporated by Reference in Rule 69W-1000.001, F.A.C.,

Related Rules

69W-1000.001 Disciplinary Guidelines

Related Notices

15578605.The proposed changes make conforming changes to the proposed repeal and adoption of certain rules described below. In addition, the changes adopt disciplinary guidelines for violations of sections of the Investment Advisers Act of 1940 currently referenced in Rule 69W-600.0131 and incorporated by reference, and make other corrective changes. A copy of the proposed incorporated disciplinary guidelines can be obtained at http://www.flrules.org/Gateway/reference.asp?No=Ref-05076