Rule: 69W-600.0133 Prev Up Next
| Rule Title: Use of Senior - Specific Certifications or Senior-Specific Professional Designations by Associated Persons and Investment Advisers | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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| Division: | Securities | ||
| Chapter: | REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS | ||
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
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Effective Date: | 3/21/2024 |
| History Notes: | Rulemaking Authority 517.03(1), 517.1215(2), 517.1217 FS. Law Implemented 517.1215(2), 517.1217, 517.161 FS. History–New 1-18-09, Amended 9-22-14, 3-21-24. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
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Use of Senior - Specific Certifications or Senior-Specific Professional Designations by Associated Persons and Investment Advisers | 28116049 |
Effective: 03/21/2024 |
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The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27941934 |
1/17/2024 Vol. 50/11 |
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The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27426282 |
8/11/2023 Vol. 49/156 |
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Use of Senior - Specific Certifications or Senior-Specific Professional Designations by Associated Persons and Investment Advisers | 15039770 |
Effective: 09/22/2014 |
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This is the Final Public Hearing on the adoption of proposed amendments to these rules, originally published on May 19, 2014, Vol. 40, No. 97, .... August 19, 2014, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
14896889 |
8/4/2014 Vol. 40/150 |
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Fingerprint Requirements, Rules of Conduct, Prohibited Business Practices for Dealers and Their Associated Persons, Prohibited Business Practices for Investment Advisers and Their Associated Persons, .... | 14666611 |
6/10/2014 Vol. 40/112 |
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The rules are proposed for amendment to: update references to incorporated material; correct cross-references; adopt FINRA 3240 in whole in Rule 69W-600.013 (previously adopted only in part); adopt MSRB Definitional Rules .... | 14550211 |
5/19/2014 Vol. 40/97 |
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The rules are proposed for amendment to update references to incorporated material. The Office of Financial Regulation proposes to consolidate all material incorporated by reference in Chapter 69W, F.A.C. into a new proposed .... | 14449913 |
4/15/2014 Vol. 40/73 |
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Use of Senior - Specific Certifications and Professional Designations by Associated Persons and Investment Advisers | 6631519 |
Effective: 01/18/2009 |
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This is the Final Public Hearing on the adoption of proposed Rules 69W-600.013, 69W-600.0131, and 69W-600.0133, Florida Administrative Code, .... December 9, 2008, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
6455561 |
11/26/2008 Vol. 34/48 |
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Use of Senior-Specific Certifications and Professional Designations by Associated Persons and Investment Advisers | 6412784 |
11/14/2008 Vol. 34/46 |
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The use of a designation or a certification by associated persons or investment advisers confers an impression with senior citizens or retirees that the associated person or investment adviser has special qualifications .... | 6134685 |
9/26/2008 Vol. 34/39 |
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Rule 69W-600.0133, F.A.C., is being proposed to prohibit the use of a senior specific certification or designation in connection with the offer, sale or purchase of securities or the provision of advice as the advisability .... | 5753087 |
6/20/2008 Vol. 34/25 |
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