Notice: 5753087
Notice of Development of Rulemaking
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
69W-600.0131   Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.0133   Use of Senior - Specific Certifications or Senior-Specific Professional Designations by Associated Persons and Investment Advisers
RULEMAKING AUTHORITY: 517.03(1), 517.1215(2), 517.1217 FS.
LAW: 517.081, 517.12, 517.1215, 517.1217, 517.161 FS.
PRINT PUBLISH DATE: 6/20/2008   Vol. 34/25

RELATED STATUTES
AND LAWS:
517.03(1), 517.1215(2), 517.1217 FS., 517.081, 517.12, 517.1215, 517.1217, 517.161 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-600.013&PDate=6/20/2008&Section=1
REFERENCE MATERIALS: No reference(s).