Department of Financial Services Notice

fl-31384076: 69W-1000.001 — The purpose and effect is and to to add a table listing minor violations for which a notice of non-compliance shall be issued for a first...

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Summary

The purpose and effect is and to to add a table listing minor violations for which a notice of non-compliance shall be issued for a first or second violation if such violation does not result in economic harm to a person ....

The agency’s own summary, as published.

The rule, in full

286 words as published, September 18, 2026. View the original →

31384076, 69W-1000.001 - Florida Administrative Rules, Law, Code, Register - FAC, FAR, eRulemaking Home About Us Contact Us Help Florida Department of State and Division of Library and Information Services Home Advanced Search MyFLRules Rules Open for Comments Notice: 31384076 Notice of Rule Development Department: DEPARTMENT OF FINANCIAL SERVICES Division: Securities Chapter: DISCIPLINARY GUIDELINES Overview RULE: 69W-1000.001   Disciplinary Guidelines PURPOSE: The purpose and effect is and to to add a table listing minor violations for which a notice of non-compliance shall be issued for a first or second violation if such violation does not result in economic harm to a person or adversely affect public welfare or create a significant risk of such harm and to update the Office of Financial Regulation Disciplinary Guidelines for Chapter 517, Florida Statutes (F.S.) and Division 69W, Florida Administrative Code (F.A.C.) (“Disciplinary Guidelines”) incorporated by reference in the rule. SUBJECT: Securities Regulation RULEMAKING AUTHORITY: 517.1611, FS. LAW: 517.111, 517.1202, 517.121, 517.161, 517.1611(1), 517.191(4), (9), (10), FS. PRINT PUBLISH DATE: 9/18/2026   Vol. 52/182 RELATED STATUTES AND LAWS: 517.1611, FS., 517.111, 517.1202, 517.121, 517.161, 517.1611(1), 517.191(4), (9), (10), 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=9/18/2026&Section=1 REFERENCE MATERIALS: No reference(s). Home Advanced Search MyFLRules Rules Open for Comments About Us Contact Us Help  Privacy Policies Accessibility Statement Copyright @ 2010 State of Florida Department of State 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.

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