The commission by rule may establish rules of conduct and prohibited business practices for dealers and their associated persons and for intermediaries. In adopting the rules, the commission shall consider general industry standards as expressed in the rules and regulations of the various federal and self-regulatory agencies and regulatory associations, including, but not limited to, the Securities and Exchange Commission, the Financial Industry Regulatory Authority, and the North American Securities Administrators Association, Inc.
Fla. Stat. § 517.1217
Rules of conduct and prohibited business practices for dealers and their associated persons and for intermediaries
Known as the Florida Securities and Investor Protection Act
The act spans §§ 517.011 to 517.34 (45 sections).
History.--s. 5, ch. 2005-237; s. 7, ch. 2009-242; s. 8, ch. 2023-205.
Official source: Online Sunshine (Florida Legislature). Reproduced from public-domain Florida statutes; confirm against the official source for the current text. Not legal advice.