Florida Statutes 517.1217 – Rules of conduct and prohibited business practices for dealers and their associated persons and for intermediaries
Current as of: 2023 | Check for updates
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Terms Used In Florida Statutes 517.1217
- Commission: means the Financial Services Commission. See Florida Statutes 517.021
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.