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Rules Open for Comments
Notice: 28114885
Final Adopted Version in F.A.C.
Department:
DEPARTMENT OF FINANCIAL SERVICES
Division:
Securities
Chapter:
REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS
Overview
RULE:
69W-600.0016
Application for Registration as an Investment Adviser (State Registered)
RULE FILE DATE:
3/1/2024
RULE EFFECTIVE DATE:
3/21/2024
HISTORY NOTES:
Rulemaking Authority
517.03(1)
,
517.12
,
517.121(1) FS.
Law Implemented
517.12 FS.
History–New 12-29-15, Amended 11-26-19, 1-18-21, 2-14-23, 3-21-24.
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 RULES
AND REGULATIONS:
Electronic Code of Federal Regulations
HOW TO LINK TO
THIS NOTICE:
http://www.flrules.org/gateway/ruleno.asp?id=69W-600.0016&Section=0
REFERENCE MATERIALS:
Ref-06080 Form BR
Ref-11281 Form ADV-W, Notice of Withdrawal from Registration as an Investment Adviser (07/17)
Ref-12554 Form U4 Instructions-Explanation of Terms-Form.pdf
Ref-12562 Form U5 Instructions-Explanation of Terms-Form
Ref-16500 FORM ADV, Uniform Application for Investment Adviser Registration (8-22)