11101861, 69W-301.002 - Florida Administrative Rules, Law, Code, Register

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Florida Department of State and Division of Library and Information Services

Notice: 11101861

Notice of Proposed Rule

Department:

DEPARTMENT OF FINANCIAL SERVICES

Division:

Securities

Chapter:

PROCEDURAL RULES FOR PROCESSING

Overview

RULE:

69W-301.002

Processing of Applications and Notice-Filings (Repealed)

PURPOSE:

Rule 69W-301.002, F.A.C., is being amended to adopt the latest versions of the Form ADV, Uniform Application for Investment Adviser Registration (9/2011), and Form BD, Uniform Application for Broker-Dealer Registration (1/2008). Form ADV is the uniform form used by investment advisers to register with both the Securities and Exchange Commission (SEC) and state securities regulators through the Investment Adviser Registration Depository (IARD). Form BD is the uniform form used by broker-dealers to register with the SEC and state securities regulators through the Central Registration Depository (CRD). The SEC’s approval and adoption of the Form ADV may be found in 76 Fed. Reg. 138, 42950 (July 19, 2011). The SEC's approval and adoption of Form BD may be found in 73 Fed. Reg. 18, 4690 (January 28, 2008). The proposed changes do not require legislative ratification.

SUMMARY:

Rob Vandiver, Chief Counsel, Division of Securities, (850)410-9707, robert.vandiver@flofr.com

RULEMAKING AUTHORITY:

517.03(1), 517.12, 517.1201, 517.081(2), 517.082(4) FS.

LAW:

120.60(1), 517.051, 517.075, 517.081, 517.082, 517.12, 517.161(5) FS.

PRINT PUBLISH DATE:

3/30/2012 Vol. 38/13

COMMENTS:

From 3/30/2012 To 4/20/2012 (21 Days)
The public comment period for this notice has already expired.

REFERENCE MATERIALS:

Ref-01020 Form ADV, Uniform Application for Investment Adviser Registration (9-2011)

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