Florida Department of State and Division of Library and Information Services
Notice: 28115952
Final Adopted Version in F.A.C.
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview
RULE:
69W-600.0132   Custody Requirements for Investment Advisers
RULE FILE DATE: 3/1/2024
RULE 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.
OVERSIGHT COMMITTEE: Joint Administrative Procedures Committee
Florida Administrative Law Central Online Network (F.A.L.C.O.N.)
RELATED COURT CASES: Division of Administrative Hearings
FEDERAL RULES
AND REGULATIONS: 		Electronic Code of Federal Regulations
HOW TO LINK TO
THIS NOTICE: 		http://flrules.org/gateway/ruleno.asp?id=69W-600.0132&Section=0
REFERENCE MATERIALS: 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)


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