a Waiver of Rule 69W-600.0024(6)(b) from Paul Samuel McBroom. Rule 69W-600.0024(6)(b) requires an associated person of an investment adviser or federal covered adviser to provide the Office with proof of passing, within two years of the date of ...

 

DEPARTMENT OF FINANCIAL SERVICES

Finance

NOTICE IS HEREBY GIVEN that on February 08, 2019, the Florida Office of Financial Regulation, received a petition for a Waiver of Rule 69W-600.0024(6)(b) from Paul Samuel McBroom. Paragraph 69W-600.0024(6)(b) requires an associated person of an investment adviser or federal covered adviser to provide the Office with proof of passing, within two years of the date of application for registration, one of the following examinations: (1) The Uniform Investment Adviser Law Examination (Series 65); or (2) The General Securities Representative Examination (Series 7) and the Uniform Combined State Law Examination (Series 66).

A copy of the Petition for Variance or Waiver may be obtained by contacting: Agency Clerk, Office of Financial Regulation, P.O. Box 8050, Tallahassee, Florida 32314-8050, [phone], [e-mail].