Florida Department of State and Division of Library and Information Services

Reference: Ref-16501

Reference Name: 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)
Agency: 69 Department of Financial Services
69W Securities

Modified Document(s): No Modified document(s).
Adopted Document(s):
2/27/2024 Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser Pursuant ...
Proposed Document(s):
2/26/2024 Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser Pursuant ...
Description: 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)

Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.

Rules/Notices using this Reference Material
Notice /
Adopted		 Section Description ID Publish
Date
View Text Final
69W-600.0132 		Custody Requirements for Investment Advisers 28115952 Effective:
03/21/2024



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