Rule: 69W-600.0016 Prev Up Next
| Rule Title: Application for Registration as an Investment Adviser (State Registered) | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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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):
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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 |
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|---|---|---|---|---|
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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 |
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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 |
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