Rule: 69W-600.0016 Prev Up Next
| Rule Title: Application for Registration as an Investment Adviser (State Registered) | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
 Add to MyFLRules Favorites |
|
| Division: | Securities | ||
| Chapter: | REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS | ||
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
|
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. | |
| References in this version: |
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) |
| Notice / Adopted |
Description | ID | Publish Date |
|
|---|---|---|---|---|
|
Application for Registration as an Investment Adviser (State Registered) | 28114885 |
Effective: 03/21/2024 |
|
|
|
The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27941934 |
1/17/2024 Vol. 50/11 |
|
|
|
The purpose and effect is to incorporate the North American Securities Administrators Association’s (“NASAA”) model rule concerning its Examination Validity Extension Program (“EVEP”) for associated persons of investment .... | 27941837 |
1/12/2024 Vol. 50/09 |
|
|
|
The purpose and effect is to incorporate the North American Securities Administrators Association’s (“NASAA”) model rule concerning its Examination Validity Extension Program (“EVEP”) for associated persons of investment .... | 27426379 |
8/11/2023 Vol. 49/156 |
|
|
|
The purpose and effect is to conform the rules to Chapter 2023-205, Laws of Florida, to toll the time period for abandoning an application filed with the Office for registration as a Financial Industry Regulatory Authority .... | 27426282 |
8/11/2023 Vol. 49/156 |
|
|
|
Application for Registration as an Investment Adviser (State Registered) | 26781814 |
Effective: 02/14/2023 |
|
|
|
This is a public hearing to discuss the proposed rulemaking of Rules 69W-600.001, 69W-600.0011, 69W-600.0012, 69W-600.0013, 69W-600.0016, 69W-600.002, .... December 13, 2022, 10:00 a.m. 101 East Gaines Street, Fletcher Building, Suite B103, Tallahassee, .... |
26599066 |
12/5/2022 Vol. 48/234 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26344344 |
9/30/2022 Vol. 48/191 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current version of SEC Form X-17A-5, FOCUS Report, and other materials incorporated by reference, to clarify how applicants for registration .... | 26274795 |
9/12/2022 Vol. 48/177 |
|
|
|
Application for Registration as an Investment Adviser (State Registered) | 24065135 |
Effective: 01/18/2021 |
|
|
|
Application for Registration as a Dealer (FINRA), Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer, Canadian Dealer Notice-Filing, Application for .... | 23841356 |
11/4/2020 Vol. 46/216 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... | 23718166 |
10/2/2020 Vol. 46/193 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... | 23611078 |
9/3/2020 Vol. 46/173 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to make a violation of SEC Rule 17a-14 (17 C.F.R. §240.17a-14) .... | 23468973 |
7/28/2020 Vol. 46/146 |
|
|
|
Application for Registration as an Investment Adviser (State Registered) | 22602569 |
Effective: 11/26/2019 |
|
|
|
Application for Registration as a Dealer (FINRA), Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer, Application for Registration as an Investment .... | 22399839 |
9/20/2019 Vol. 45/184 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove .... | 22252787 |
8/13/2019 Vol. 45/157 |
|
|
|
The purpose and effect is to amend the existing rules to incorporate by reference the current versions of forms and other materials incorporated by reference, to incorporate, in relevant part, the contents of and remove .... | 22020472 |
6/20/2019 Vol. 45/120 |
|
|
|
Application for Registration as an Investment Adviser (State Registered) | 16901200 |
Effective: 12/29/2015 |
|
|
|
Application for Registration as a Dealer (non-FINRA), Application for Registration as an Issuer/Dealer, Application for Registration as an Investment Adviser (State Registered), Notice-Filing for Federal .... | 16668788 |
10/27/2015 Vol. 41/209 |
|
|
|
The Office will hold a public hearing to discuss changes to its proposed rules relating to registration/notice-filing of entities regulated .... October 26, 2015, 10:00 a.m. Office of Financial Regulation, Room B103, 101 East Gaines St., .... |
16566938 |
10/2/2015 Vol. 41/192 |
|
|
|
Application for Registration as a Dealer (non-FINRA), Application for Registration as an Issuer/Dealer, Application for Registration as an Investment Adviser (State Registered), Notice-Filing for Federal .... | 16560924 |
10/1/2015 Vol. 41/191 |
|
|
|
The Office will hold a public hearing to discuss changes to its proposed rules relating to registration/notice-filing of entities regulated .... August 17, 2015, 10:00 a.m. Office of Financial Regulation, Room B103, 200 East Gaines St., .... |
16308142 |
8/7/2015 Vol. 41/153 |
|
|
|
The Office proposes to create new registration/notice-filing rules for entities required to be registered or notice-filed under Chapter 517, Florida Statutes. The Office identified 14 of these categories and proposes to .... | 16199793 |
7/14/2015 Vol. 41/135 |
|
|
|
The Office proposes to create new registration/notice-filing rules for entities required to be registered or notice-filed under Chapter 517, Florida Statutes. The Office identified 14 of these categories and proposes to .... | 16079998 |
6/12/2015 Vol. 41/114 |
|