22021248, 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: 22021248

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

DISCIPLINARY GUIDELINES

Overview

RULE:

69W-1000.001

Disciplinary Guidelines

PURPOSE:

The purpose and effect is to amend the Disciplinary Guidelines for Chapter 517, Florida Statutes, and Division 69W, Florida Administrative Code incorporated by reference in Rule 69W-1000.001, F.A.C., in order to reflect current versions of FINRA rules and other materials incorporated by reference, remove guidelines for repealed rules, revise the guidelines to reflect appropriate sanctions, reorder the guidelines to improve organization, and remove redundancies.

SUBJECT:

Securities Regulation

RULEMAKING AUTHORITY:

517.1611(1) FS.

LAW:

517.11, 517.121, 517.161, 517.1202, 517.1611(1), 517.191(4), 517.221(3), 517.221(4) FS.

PRINT PUBLISH DATE:

6/20/2019 Vol. 45/120

RELATED STATUTES
AND LAWS:

517.1611(1) FS., 517.11, 517.121, 517.161, 517.1202, 517.1611(1), 517.191(4), 517.221(3), 517.221(4) 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=6/20/2019&Section=1

REFERENCE MATERIALS:

No reference(s).

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