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Ref-01020 Form ADV, Uniform Application for Investment Adviser Registration (9-2011)

Form ADV (9-2011).pdf

Form ADV, Uniform Application for Investment Adviser Registration (9-2011) 2/12/2012

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Agency:: Department of Financial Services
69W. Securities

Description:: Form ADV, Uniform Application for Investment Adviser Registration (9-2011)

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11101861.Rule 69W-301.002, F.A.C., is being amended to adopt the latest versions of the Form ADV, Uniform Application for Investment Adviser Registration (9/2011), and Form BD, Uniform Application for Broker-Dealer Registration (1/2008). Form ADV is the uniform form used by investment advisers to register with both the Securities and Exchange Commission (SEC) and state securities regulators through the Investment Adviser Registration Depository (IARD). Form BD is the uniform form used by broker-dealers to register with the SEC and state securities regulators through the Central Registration Depository (CRD). The SEC’s approval and adoption of the Form ADV may be found in 76 Fed. Reg. 138, 42950 (July 19, 2011). The SEC's approval and adoption of Form BD may be found in 73 Fed. Reg. 18, 4690 (January 28, 2008). The proposed changes do not require legislative ratification.