Rule: 69W-600.0131 Prev Up Next
| Rule Title: Prohibited Business Practices for Investment Advisers 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: | 10/1/2024 |
| History Notes: | Rulemaking Authority 517.03(1), 517.1215 FS. Law Implemented 517.12(3), 517.1215, 517.161(1) FS. History–New 1-25-00, Amended 10-30-03, Formerly 3E-600.0131, Amended 10-23-06, 1-18-09, 11-22-10, 9-22-14, 5-6-15, 11-15-16, 11-26-19, 1-18-21, 2-14-23, 3-21-24, 10-1-24. | |
| References in this version: | No reference(s). |
| Notice / Adopted |
Description | ID | Publish Date |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 28753921 |
Effective: 10/01/2024 |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 28115855 |
Effective: 03/21/2024 |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 26782493 |
Effective: 02/14/2023 |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 24065911 |
Effective: 01/18/2021 |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 22603539 |
Effective: 11/26/2019 |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 18221273 |
Effective: 11/15/2016 |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 15917232 |
Effective: 05/06/2015 |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 15039576 |
Effective: 09/22/2014 |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 9396504 |
Effective: 11/22/2010 |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 6631422 |
Effective: 01/18/2009 |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 3060658 |
Effective: 10/23/2006 |
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Prohibited Business Practices for Investment Advisers and Their Associated Persons | 2865494 |
Effective: 10/30/2003 |
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