Rule: 69W-600.0132 Prev Up Next
| Rule Title: Custody Requirements for Investment Advisers | |||
| 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), 517.1215 FS. Law Implemented 517.1215 FS. History–New 10-23-06, Amended 11-22-10, 9-22-14, 5-6-15, 11-26-19, 1-18-21, 3-21-24. | |
| References in this version: |
Ref-16501 Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser Pursuant to Rule 206(4)-2 [17 CFR 275.206(4)-2], Form ADV-E (01-13) Ref-16505 FORM ADV, Uniform Application for Investment Adviser Registration (8-22) |
| Notice / Adopted |
Description | ID | Publish Date |
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|---|---|---|---|---|
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Custody Requirements for Investment Advisers | 28115952 |
Effective: 03/21/2024 |
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Custody Requirements for Investment Advisers | 24066008 |
Effective: 01/18/2021 |
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Custody Requirements for Investment Advisers | 22603636 |
Effective: 11/26/2019 |
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Custody Requirements for Investment Advisers | 15917329 |
Effective: 05/06/2015 |
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Custody Requirements for Investment Advisers | 15039673 |
Effective: 09/22/2014 |
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Custody Requirements for Investment Advisers | 9396601 |
Effective: 11/22/2010 |
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Custody Requirements for Investment Advisers | 3060755 |
Effective: 10/23/2006 |
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