for Waiver of Rule 69W-600.0024(6)(b), Florida Administrative Code from Stephen Smithson. The petition seeks a Waiver of paragraph 69W-600.0024(6)(b) which requires an associated person of an investment adviser or federal covered adviser to provide ...

 

DEPARTMENT OF FINANCIAL SERVICES

FSC - Financial Institution Regulation

NOTICE IS HEREBY GIVEN that on May 19, 2020, the Florida Office of Financial Regulation, received a petition for Waiver of paragraph 69W-600.0024(6)(b), Florida Administrative Code from Stephen Smithson. The petition seeks a Waiver of paragraph 69W-600.0024(6)(b) which requires an associated person of an investment adviser or federal covered adviser to provide the Office with one of the following:

1. Proof of passing, within two years of the date of application for registration, the Uniform Investment Adviser Law Examination (Series 65); or 2. Proof of passing, within two years of the date of application for registration, the General Securities Representative Examination (Series 7), the Uniform Combined State Law Examination (Series 66), and proof of passing within four years of the date of application for registration, the Securities Industry Essentials (SIE) Examination.

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].