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
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Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

Latest version of the final adopted rule presented in Florida Administrative Code (FAC):

VIEW_RULE Effective Date: 10/1/2024
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, 10-1-24.
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)
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-600.0016
Application for Registration as an Investment Adviser (State Registered) 28753436 Effective:
10/01/2024
View Text Proposed
69W-600.0016
......
The purpose and effect is to implement Chapter 2023-205, Laws of Florida, and Chapter 2024-168, Laws of Florida, amend the professional designations which satisfy the examination requirements pertaining to examination requirements .... 28542946 7/12/2024
Vol. 50/136
View Text Development
69W-600.0016
......
The purpose and effect is to implement Chapter 2023-205, Laws of Florida, and Chapter 2024-168, Laws of Florida, amend the professional designations which satisfy the examination requirements pertaining to examination requirements .... 28472621 6/20/2024
Vol. 50/121
View Text Final
69W-600.0016
Application for Registration as an Investment Adviser (State Registered) 28114885 Effective:
03/21/2024
View Text Proposed
69W-600.001
......
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
View Text Proposed
69W-600.0016
......
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
View Text Development
69W-600.0016
......
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
View Text Development
69W-600.001
......
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
View Text Final
69W-600.0016
Application for Registration as an Investment Adviser (State Registered) 26781814 Effective:
02/14/2023
View Text Public Hearing
69W-600.001
......
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
View Text Proposed
69W-600.001
......
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
View Text Development
69W-600.001
......
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
View Text Final
69W-600.0016
Application for Registration as an Investment Adviser (State Registered) 24065135 Effective:
01/18/2021
View Text Correction
69W-600.001
......
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
View Text Proposed
69W-600.001
......
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
View Text Development
69W-600.001
......
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
View Text Development
69W-600.001
......
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
View Text Final
69W-600.0016
Application for Registration as an Investment Adviser (State Registered) 22602569 Effective:
11/26/2019
View Text Change
69W-600.001
......
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
View Text Proposed
69W-600.001
......
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
View Text Development
69W-600.001
......
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
View Text Final
69W-600.0016
Application for Registration as an Investment Adviser (State Registered) 16901200 Effective:
12/29/2015
View Text Change
69W-600.0012
......
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
View Text Public Hearing
69W-600.001
......
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
View Text Change
69W-600.0012
......
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
View Text Public Hearing
69W-600.001
......
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
View Text Proposed
69W-600.0012
......
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
View Text Development
69W-600.0012
......
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