The purpose and effect is to implement Chapter 2023-205, Laws of Florida, and Chapter 2024-168, Laws of Florida, amend the professional designations which satisfy the examination requirements pertaining to examination requirements ....

Document Information

Comments Open:: 7/12/2024
Summary:: The rules are amended to implement Chapter 2023-205, Laws of Florida, by amending Form OFR-MIL-001, Office of Financial Regulation Active Military Member/Veteran/Spouse Fee Waiver and Military Service Verification, and Chapter 2024-168, Laws of Florida, which made changes to the Florida Limited Offering Exemption (formerly Florida Intrastate Crowdfunding), to amend the professional designations which satisfy the examination requirements pertaining to examination requirements for associated ...
Purpose:: The purpose and effect is to implement Chapter 2023-205, Laws of Florida, and Chapter 2024-168, Laws of Florida, amend the professional designations which satisfy the examination requirements pertaining to examination requirements for associated persons of investment advisers and federal covered advisers, to permit an associated person of an investment adviser to borrow money or securities or lend money or securities to a client under certain limited circumstances and with prior written notice ...
Rulemaking Authority:: 517.03, 517.0611, 517.12, 517.121, 517.1215, 517.1611, FS.
Law:: 517.0611, 517.12, 517.161, FS.
Related Rules: (2): 69W-600.002. Application for Registration as Associated Person; 69W-600.0131. Prohibited Business Practices for Investment Advisers and Their Associated Persons