Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor) (Ch. 69W-600; Department of Financial Services)
Fla. Admin. Code R. 69W-600.0024
Florida Administrative Code
Rule: 69W-600.0024
Rule Title: Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
Department:
DEPARTMENT OF FINANCIAL SERVICES
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:
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 9-25-18, 11-26-19, 1-18-21, 2-14-23, 3-21-24, 10-1-24.
References in this version:
Ref-12573 Form U4 Instructions-Explanation of Terms-Form
Ref-12575 Form U5 Instructions-Explanation of Terms-Form
Ref-17052 Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, Form OFR-MIL-001, effective 10/2024
History of this Rule since Jan. 6, 2006
Notice /
Adopted
Section
Description
Publish
Date
Development
69W-600.001
......
The purpose and effect is to amend fingerprint requirements, to implement changes made to the Florida Limited Offering Exemption, and to update cross-references.
6/13/2025
Vol. 51/115
Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
Effective:
10/01/2024
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 ....
7/12/2024
Vol. 50/136
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 ....
6/20/2024
Vol. 50/121
Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
Effective:
03/21/2024
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 ....
1/17/2024
Vol. 50/11
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 ....
1/12/2024
Vol. 50/09
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 ....
8/11/2023
Vol. 49/156
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 ....
8/11/2023
Vol. 49/156
Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
Effective:
02/14/2023
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, ....
12/5/2022
Vol. 48/234
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 ....
9/30/2022
Vol. 48/191
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 ....
9/12/2022
Vol. 48/177
Variances
69W-600.0024
that on March 9, 2021, the , issued a Final Order Denying Wellman’s Petition for Permanent Waiver of Rule 6W-600.0024, FAC, and Notice of Rights.
The petition sought a Waiver of paragraph 69W-600.0024(6)(
b) which requires ....
3/18/2021
Vol. 47/53
Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
Effective:
01/18/2021
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 ....
11/4/2020
Vol. 46/216
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) ....
10/2/2020
Vol. 46/193
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) ....
9/3/2020
Vol. 46/173
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) ....
7/28/2020
Vol. 46/146
Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
Effective:
11/26/2019
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 ....
9/20/2019
Vol. 45/184
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 ....
8/13/2019
Vol. 45/157
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 ....
6/20/2019
Vol. 45/120
Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
Effective:
09/25/2018
Correction
69W-600.002
......
Application for Registration as Associated Person (FINRA Dealer), Application for Registration as an Associated Person (Non-FINRA Dealer), Application for Registration as an Associated Person (Issuer/Dealer), ....
7/25/2018
Vol. 44/144
Proposed
69W-600.002
......
The Office of Financial Regulation proposes to amend existing rules to conform to and implement
Chapter No. 2018-7, Laws of Florida (Military Fee Waiver), which was signed into law on March 14, 2018. The legislation requires ....
6/19/2018
Vol. 44/119
Development
69W-600.002
......
The purpose and effect is to amend existing rules to adopt a form relating to military fee waiver procedures for military personnel, veterans, and spouses seeking registration or renewal of registration as any of the following: ....
5/24/2018
Vol. 44/102
Final
69W-600.0024
Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
Effective:
12/29/2015
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 ....
10/27/2015
Vol. 41/209
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., ....
10/2/2015
Vol. 41/192
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 ....
10/1/2015
Vol. 41/191
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., ....
8/7/2015
Vol. 41/153
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 ....
7/14/2015
Vol. 41/135
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 ....
6/12/2015
Vol. 41/114