The purpose and effect is to incorporate the North American Securities Administrators Association’s (“NASAA”) model rule concerning its Examination Validity Extension Program (“EVEP”) for associated persons of investment ....
DEPARTMENT OF FINANCIAL SERVICES
RULE NOS.:RULE TITLES:
69W-600.0016Application for Registration as an Investment Adviser (State Registered)
69W-600.0024Application for Registration as an Associated Person (Investment Adviser and Federal Covered Advisor)
PURPOSE AND EFFECT: The purpose and effect is to incorporate the North American Securities Administrators Association’s (“NASAA”) model rule concerning its Examination Validity Extension Program (“EVEP”) for associated persons of investment advisers and federal covered advisers.
SUBJECT AREA TO BE ADDRESSED: Securities Regulation.
RULEMAKING AUTHORITY: 517.03, 517.12, FS.
LAW IMPLEMENTED: 517.12, FS.
IF REQUESTED IN WRITING AND NOT DEEMED UNNECESSARY BY THE AGENCY HEAD, A RULE DEVELOPMENT WORKSHOP WILL BE NOTICED IN THE NEXT AVAILABLE FLORIDA ADMINISTRATIVE REGISTER.
THE PERSON TO BE CONTACTED REGARDING THE PROPOSED RULE DEVELOPMENT AND A COPY OF THE PRELIMINARY DRAFT, IF AVAILABLE, IS: Ryann White, Office of General Counsel, (850)410-9803, Ryann.White@flofr.gov.
THE PRELIMINARY TEXT OF THE PROPOSED RULE DEVELOPMENT IS NOT AVAILABLE.
Document Information
- Purpose:
- The purpose and effect is to incorporate the North American Securities Administrators Association’s (“NASAA”) model rule concerning its Examination Validity Extension Program (“EVEP”) for associated persons of investment advisers and federal covered advisers.
- Rulemaking Authority:
- 517.03, 517.12, FS.
- Law:
- 517.12, FS.