Rule: 69W-600.013 Prev Up Next
| Rule Title: Prohibited Business Practices for Dealers and Their Associated Persons | |||
| 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), 517.1217 FS. Law Implemented 517.081, 517.1217, 517.161(1) FS. History–New 12-5-79, Amended 9-20-82, Formerly 3E-600.13, Amended 8-1-91, 6-16-92, 1-11-93, 11-7-93, 5-5-94, 9-9-96, 10-20-97, 1-25-00, 10-30-03, Formerly 3E-600.013, Amended 10-23-06, 1-18-09, 11-22-10, 9-22-14, 11-15-16, 11-26-19, 1-18-21, 3-21-24. | |
| References in this version: |
Ref-16502 Florida Guide to Small Business Investments, OFR-S-13-97 effective 3/24 |
| Notice / Adopted |
Description | ID | Publish Date |
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|---|---|---|---|---|
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Prohibited Business Practices for Dealers and Their Associated Persons | 28115758 |
Effective: 03/21/2024 |
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Prohibited Business Practices for Dealers and Their Associated Persons | 24065814 |
Effective: 01/18/2021 |
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Prohibited Business Practices for Dealers and Their Associated Persons | 22603442 |
Effective: 11/26/2019 |
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Prohibited Business Practices for Dealers and Their Associated Persons | 18221176 |
Effective: 11/15/2016 |
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Prohibited Business Practices for Dealers and Their Associated Persons | 15039479 |
Effective: 09/22/2014 |
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Prohibited Business Practices for Dealers and Their Associated Persons | 9396407 |
Effective: 11/22/2010 |
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Prohibited Business Practices for Dealers and Their Associated Persons | 6631131 |
Effective: 01/18/2009 |
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Prohibited Business Practices for Dealers and Their Associated Persons | 3060561 |
Effective: 10/23/2006 |
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Prohibited Business Practices for Dealers and Their Associated Persons | 2865397 |
Effective: 10/30/2003 |
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