15277226, 69W-1000.001 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 15277226

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

DISCIPLINARY GUIDELINES

Overview

RULE:

69W-1000.001

Disciplinary Guidelines

PURPOSE:

The rule is proposed for amendment to update the disciplinary guidelines incorporated by reference in the rule.  The Office proposes to add disciplinary guidelines for violations of Rule 69W-600.004(3), relating to notice-filing of branch offices; sections of the Investment Advisers Act of 1940 cited in 69W-600.0131(1)(a); and proposed additions of SEC Rules 204-1 and 206(4)-7 in rules 69W-600.0131(1)(a) and 69W-200.002.

SUBJECT:

Securities Regulation

RULEMAKING AUTHORITY:

517.1611(1) FS

LAW:

517.1611(1), 517.191(4), 517.221(3) FS

PRINT PUBLISH DATE:

11/24/2014 Vol. 40/228

RELATED STATUTES
AND LAWS:

517.1611(1) FS, 517.1611(1), 517.191(4), 517.221(3) FS

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 eRULEMAKING
WEB PORTAL:

Regulations.gov

HOW TO LINK TO
THIS NOTICE:

http://flrules.org/gateway/ruleno.asp?id=69W-1000.001&PDate=11/24/2014&Section=1

REFERENCE MATERIALS:

No reference(s).

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