Notice: 13734344
Final Adopted Version in F.A.C.
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: DISCIPLINARY GUIDELINES

VIEW NOTICE

Overview

RULE:
69W-1000.001   Disciplinary Guidelines
RULE FILE DATE: 10/25/2013
RULE EFFECTIVE DATE: 11/14/2013
HISTORY NOTES: Rulemaking Authority 517.1611(1) FS. Law Implemented 517.1611(1), 517.191(4), 517.221(3) FS. History–New 11-22-10, Amended 11-14-13.

OVERSIGHT COMMITTEE: Joint Administrative Procedures Committee
Florida Administrative Law Central Online Network (F.A.L.C.O.N.)

RELATED COURT CASES: Division of Administrative Hearings

FEDERAL RULES
AND REGULATIONS:
Electronic Code of Federal Regulations

HOW TO LINK TO
THIS NOTICE:
http://flrules.org/gateway/ruleno.asp?id=69W-1000.001&Section=0
REFERENCE MATERIALS: 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.,