G. M. Livingston, III, on behalf of Livingston Financial, Inc.,; The request has been assigned the number 0326-S-2/07.
DEPARTMENT OF FINANCIAL SERVICES
NOTICE IS HEREBY GIVEN that the Office of Financial Regulation received a request, as amended three times, for a Declaratory Statement on February 28, 2007, from G. M. Livingston, III, on behalf of Livingston Financial, Inc., regarding the application of Section 517.1215, Florida Statutes, Investment Advisers Act of 1940, Rule 206(4)-1, and NASD Rule 2210. The request has been assigned the number 0326-S-2/07.
A copy of the request may be obtained by writing: Lealand L. McCharen, Assistant General Counsel, Office of Financial Regulation, 200 E. Gaines Street, Fletcher Building, Suite 526, Tallahassee, Florida 32399-0379.
Document Information
- Meeting:
- of Section 517.1215, Florida Statutes, Investment Advisers Act of 1940, Rule 206(4)-1, and NASD Rule 2210
- Contact:
- Lealand L. McCharen, Assistant General Counsel, Office of Financial Regulation, 200 E. Gaines Street, Fletcher Building, Suite 526, Tallahassee, Florida 32399-0379.