On 4/30/2019, the Florida Office of Financial Regulation issued a Final Order Denying Petition for Permanent Waiver of Rule 69W-600.0024(6)(b), Florida Administrative Code, dated February 8, 2109, filed by USI Advisors Inc. on behalf of Paul Samuel ...

 

DEPARTMENT OF FINANCIAL SERVICES

Securities

The Florida Office of Financial Regulation hereby gives notice: On 4/30/2019, the Florida Office of Financial Regulation issued a Final Order Denying Petition for Permanent Waiver of paragraph 69W-600.0024(6)(b), Florida Administrative Code, dated February 8, 2109, filed by USI Advisors Inc. on behalf of Paul Samuel McBroom.

The Office determined that the fact that McBroom's previous employer did not support registrations for employees in positions like McBroom' s does not demonstrate that the application of paragraph 69W-600.0024(6)(b), Florida Administrative Code, creates a substantial hardship to McBroom. The Office determined that principles of fairness would not be violated if McBroom is required to retake the Series 65 exam because he is not affected in a manner significantly different from the way it affects other similarly situated persons.

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