517.1217 Rules of conduct and prohibited business practices for dealers and their associated persons. - Florida Statutes

517.1217 Rules of conduct and prohibited business practices for dealers and their associated persons.

The commission by rule may establish rules of conduct and prohibited business practices for dealers and their associated persons. 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 United States Securities and Exchange Commission, the Financial Industry Regulatory Authority, and the North American Securities Administrators Association.

History. s. 5, ch. 2005-237; s. 7, ch. 2009-242.