Florida Department of State and Division of Library and Information Services
Notice: 2865494
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-600.0131   Prohibited Business Practices for Investment Advisers and Their Associated Persons
RULE EFFECTIVE DATE: 10/30/2003
HISTORY NOTES: Specific Authority 517.03(1) FS. Law Implemented 517.12, 517.161(1) FS. History–New 1-25-00, Amended 10-30-03, Formerly 3E-600.0131.
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-600.0131&Section=0
REFERENCE MATERIALS: No reference(s).


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