Rule No.: RULE TITLE
69W-301.002: Processing of Applications
PURPOSE AND EFFECT: The agency intends to amend Rule 69W-301.002, F.A.C., to adopt the latest versions of the Form ADV, Uniform Application for Investment Adviser Registration Form, which reflects amendments to Parts 1 and Part 2 of the form, and Form BD, Uniform Application for Broker-Dealer Registration. These forms reflect federal standards that have been approved by the Securities and Exchange Commission (SEC). The forms are available on the SEC’s website: www.sec.gov.
SUBJECT AREA TO BE ADDRESSED: Securities Regulation.
SPECIFIC AUTHORITY: 517.03(1), 517.12, 517.1201, 517.081(2), 517.082(4) FS.
LAW IMPLEMENTED: 120.60(1), 517.051, 517.075, 517.081, 517.082, 517.12, 517.161(5) FS.
IF REQUESTED IN WRITING AND NOT DEEMED UNNECESSARY BY THE AGENCY HEAD, A RULE DEVELOPMENT WORKSHOP WILL BE NOTICED IN THE NEXT AVAILABLE FLORIDA ADMINISTRATIVE WEEKLY.
THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE DEVELOPMENT AND A COPY OF THE PRELIMINARY DRAFT, IF AVAILABLE, IS: Pam Epting, Chief, Bureau of Regulatory Review, Division of Securities, Office of Financial Regulation, The Fletcher Building, 200 East Gaines Street, Tallahassee, Florida 32399-0375, (850)410-9500, pam.epting@flofr.com

THE PRELIMINARY TEXT OF THE PROPOSED RULE DEVELOPMENT IS NOT AVAILABLE.