8072842, 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: 8072842

Notice of Development of Rulemaking

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

DISCIPLINARY GUIDELINES

Overview

RULE:

69W-1000.001

Disciplinary Guidelines

PURPOSE:

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 of the new law is a requirement that the Financial Services Commission 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, Florida Statutes, the Florida Securities and Investor Protection Act. The rule implements this statutory requirement.

SUBJECT:

Securities Regulation.

RULEMAKING AUTHORITY:

517.1611(1) FS.

LAW:

517.1611(1) FS.

PRINT PUBLISH DATE:

12/24/2009 Vol. 35/51

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=12/24/2009&Section=1

REFERENCE MATERIALS:

No reference(s).

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