8707125, 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: 8707125

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

DISCIPLINARY GUIDELINES

Overview

RULE:

69W-1000.001

Disciplinary Guidelines

PURPOSE:

Section 517.1611(1), F.S., requires the Financial Services Commission to adopt disciplinary guidelines for each ground for which disciplinary action may be imposed by the Office of Financial Regulation against individuals and firms that are subject to regulation under Chapter 517, F.S., the Florida Securities and Investor Protection Act. The proposed rule implements this statutory requirement. It is noted that a Notice of Development of Rulemaking for this proposed rule was published in the December 24, 2009, edition of the Florida Administrative Weekly. Based on comments received by the Office, changes were made to the proposed rule, which are reflected in this notice.

SUBJECT:

Securities Regulation.

RULEMAKING AUTHORITY:

517.1611(1) FS.

LAW:

517.1611(1) FS.

PRINT PUBLISH DATE:

5/28/2010 Vol. 36/21

RELATED STATUTES
AND LAWS:

517.1611(1) FS., 517.1611(1) 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=5/28/2010&Section=1

REFERENCE MATERIALS:

No reference(s).

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