15578605, 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: 15578605

Notice of Proposed Rule

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

DISCIPLINARY GUIDELINES

Overview

RULE:

69W-1000.001

Disciplinary Guidelines

PURPOSE:

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

SUMMARY:

The Office proposes to amend the disciplinary guidelines contained in the rule to reflect proposed rule changes to Chapter 69W, F.A.C., including the repeal of rules 69W-300.002, 600.015, and 600.016, and promulgation of proposed rules 69W-600.0151 and .0161.  The changes also 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.

RULEMAKING AUTHORITY:

517.1611(1) FS

LAW:

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

PRINT PUBLISH DATE:

1/29/2015 Vol. 41/19

COMMENTS:

From 1/29/2015 To 2/19/2015 (21 Days)
The public comment period for this notice has already expired.

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.,

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