Notice-Filing for Federal Covered Advisers

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

RULE NO.:RULE TITLE:

69W-600.0017Notice-Filing for Federal Covered Advisers

NOTICE OF CHANGE

Notice is hereby given that the following changes have been made to the proposed rule in accordance with subparagraph 120.54(3)(d)1., F.S., published in Vol. 46 No. 214, October 2, 2020 issue of the Florida Administrative Register.

69W-600.0017 Notice-Filing for Federal Covered Advisers.

(1) New Notice-Filings.

(a) No change.

(b) All federal covered advisers making or amending a notice-filing in this state shall file the Form ADV, Part 1, including copies of any amendments filed or required to be filed with the SEC, and the assessment fee required by Section 517.1201(1) or (2), F.S., with the IARD in accordance with subsection (1). Form ADV, Uniform Application for Investment Adviser Registration (09-19) is hereby incorporated by reference, and a sample form is available at http://www.flrules.org/Gateway/reference.asp?No=Ref-XXXXX.

(2) through (4) No change.

Rulemaking Authority 517.03(1), 517.1201 FS. Law Implemented 517.1201 FS. History–New 12-29-15, Amended 11-26-19,                       .