Florida Department of State and Division of Library and Information Services

Reference: Ref-11305

Reference Name: NASD Conduct Rules 3140, 3150, and IM-3150 (existing as of 3-8-19)
Agency: 69 Department of Financial Services
69W Securities

Original Document(s):
10/25/2019 NASD Conduct Rules 3140, 3150, and IM-3150 (existing as of 3-8-19)
Modified Document(s): No Modified document(s).
Description: NASD Conduct Rules 3140, 3150, and IM-3150 (existing as of 3-8-19)

Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.

Rules/Notices using this Reference Material
Notice /
Adopted		 Section Description ID Publish
Date
View Text Final
69W-200.002 		General Industry Standards Incorporated by Reference 22601987 Effective:
11/26/2019



Under Florida law, E-mail addresses are public records. If you do not want your E-mail address released in response to a public records request, do not send electronic mail to this entity. Instead, contact this office by phone or in writing.