Notice: 18221176
Final Adopted Version in F.A.C.
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview

RULE:
69W-600.013   Prohibited Business Practices for Dealers and Their Associated Persons
RULE FILE DATE: 10/26/2016
RULE EFFECTIVE DATE: 11/15/2016
HISTORY NOTES: Rulemaking Authority 517.03(1), 517.1217 FS. Law Implemented 517.081, 517.1217, 517.161(1) FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.13, Amended 8-1-91, 6-16-92, 1-11-93, 11-7-93, 5-5-94, 9-9-96, 10-20-97, 1-25-00, 10-30-03, Formerly 3E-600.013, Amended 10-23-06, 1-18-09, 11-22-10, 9-22-14, 11-15-16.

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-600.013&Section=0
REFERENCE MATERIALS: No reference(s).