Rule: 69W-1000.001 Prev Up Next
| Rule Title: Disciplinary Guidelines | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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| Division: | Securities | ||
| Chapter: | DISCIPLINARY GUIDELINES | ||
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 517.1611(1) FS. Law Implemented 517.111, 517.121, 517.161, 517.1202, 517.1611(1), 517.191(4), 517.221(3), (4) FS. History–New 11-22-10, Amended 11-14-13, 5-6-15, 11-15-16, 12-10-19, 1-18-21, 3-21-24. | |
| References in this version: |
Ref-16513 Office of Financial Regulation Disciplinary Guidelines for Chapter 517, Florida Statutes (F.S.) and Division 69W, Florida Administrative Code (F.A.C.) (effective 03-24) |
| Notice / Adopted |
Description | ID | Publish Date |
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Disciplinary Guidelines | 28117116 |
Effective: 03/21/2024 |
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The purpose and effect is to incorporate an updated version of the disciplinary guidelines incorporated by reference. | 27942419 |
1/12/2024 Vol. 50/09 |
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The purpose and effect is to incorporate an updated version of the disciplinary guidelines incorporated by reference. | 27426573 |
8/11/2023 Vol. 49/156 |
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Disciplinary Guidelines | 24066493 |
Effective: 01/18/2021 |
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Disciplinary Guidelines | 23845333 |
11/5/2020 Vol. 46/217 |
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The purpose and effect is to amend the Disciplinary Guidelines for Division 69W, Florida Administrative Code, incorporated by reference in Rule 69W-1000.001, F.A.C., in order to reflect current versions of FINRA rules and .... | 23718457 |
10/2/2020 Vol. 46/193 |
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The purpose and effect is to amend the Disciplinary Guidelines for Division 69W, Florida Administrative Code, incorporated by reference in Rule 69W-1000.001, F.A.C., in order to reflect current versions of FINRA rules and .... | 23469167 |
7/28/2020 Vol. 46/146 |
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Disciplinary Guidelines | 22650972 |
Effective: 12/10/2019 |
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Disciplinary Guidelines | 22514978 |
10/22/2019 Vol. 45/206 |
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The purpose and effect is to amend the Disciplinary Guidelines for Chapter 517, Florida Statutes, and Division 69W, Florida Administrative Code, incorporated by reference in Rule 69W-1000.001, F.A.C., in order to reflect .... | 22252593 |
8/13/2019 Vol. 45/157 |
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The purpose and effect is to amend the Disciplinary Guidelines for Chapter 517, Florida Statutes, and Division 69W, Florida Administrative Code incorporated by reference in Rule 69W-1000.001, F.A.C., in order to reflect .... | 22021248 |
6/20/2019 Vol. 45/120 |
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Disciplinary Guidelines | 18221564 |
Effective: 11/15/2016 |
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The Office proposes to amend the disciplinary guidelines in Rule 69W-1000.001, F.A.C., in order to remove guidelines for repealed rules, add guidelines for the new rules, and revise the guidelines for the amended rules. | 17840936 |
8/4/2016 Vol. 42/151 |
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The rule is proposed for amendment to update the disciplinary guidelines incorporated by reference in the rule. The Office proposes to make changes to disciplinary guidelines for violations of several subsections of Chapter .... | 17687385 |
6/24/2016 Vol. 42/123 |
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Disciplinary Guidelines | 15917911 |
Effective: 05/06/2015 |
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Disciplinary Guidelines | 15710137 |
3/5/2015 Vol. 41/44 |
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The proposed changes make conforming changes to the proposed repeal and adoption of certain rules described below. In addition, the changes adopt disciplinary guidelines for violations of sections of the Investment Advisers .... | 15578605 |
1/29/2015 Vol. 41/19 |
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Proposed amendments to Rules 69W-200.002, 400.002, 500.011, 600.0131, 600.0132, 600.014, and 1000.001; proposed repeal of rules 69W-300.002, .... December 18, 2014, 1:30 p.m. Room B103, Office of Financial Regulation, 200 East Gaines Street, .... |
15344447 |
12/4/2014 Vol. 40/234 |
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The rule is proposed for amendment to update the disciplinary guidelines incorporated by reference in the rule. The Office proposes to add disciplinary guidelines for violations of Rule 69W-600.004(3), relating to notice-filing .... | 15277226 |
11/24/2014 Vol. 40/228 |
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Disciplinary Guidelines | 13734344 |
Effective: 11/14/2013 |
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Disciplinary Guidelines | 13597671 |
9/30/2013 Vol. 39/190 |
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This is the Final Public Hearing on the adoption of proposed amendments to Rule 69W-1000.001, F.A.C., published on August 14, 2013, Vol. 39/158, .... September 24, 2013, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
13499604 |
9/11/2013 Vol. 39/177 |
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The proposed rule amendment updates the Office of Financial Regulation's (Office) disciplinary guidelines for Chapter 517, F.S., to specify sanctions for certain branch offices conducting securities transactions who fail .... | 13343240 |
8/14/2013 Vol. 39/158 |
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The proposed rule amendment updates the Office of Financial Regulation's (Office) disciplinary guidelines for Ch. 517, F.S., to specify sanctions for certain branch offices conducting securities transactions who fail to .... | 13239062 |
7/16/2013 Vol. 39/137 |
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Disciplinary Guidelines | 9397959 |
Effective: 11/22/2010 |
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This is the Final Public Hearing on the adoption of proposed Rule 69W-1000.001, F.A.C., published on August 20, 2010, in Vol. 36, No. 33 of .... October 12, 2010, 9:00 a.m., during a regular meeting of the .... Cabinet Meeting Room, Lower Level, The Capitol, Tallahassee, .... |
9200564 |
10/1/2010 Vol. 36/39 |
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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 .... | 8891619 |
8/20/2010 Vol. 36/33 |
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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 .... | 8707125 |
5/28/2010 Vol. 36/21 |
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During the regular 2009 legislative session, the Florida Legislature passed House Bill 483, relating to investor protection. The bill was signed into law on June 29, 2009, and took effect on July 1, 2009. A key provision .... | 8072842 |
12/24/2009 Vol. 35/51 |
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