Web517.111. Revocation or denial of registration of securities. 517.12. Registration of dealers, associated persons, intermediaries, and investment advisers. 517.1201. Notice filing … http://www.leg.state.fl.us/Statutes/index.cfm?App_mode=Display_Statute&URL=0500-0599/0517/0517ContentsIndex.html
State Registered Advisers: Firm
Webvendors or service providers authorized by the Florida Department of Law Enforcement (FDLE). Pursuant to Rule 69W-600.002(7)(b), Florida Administrative Code, “The ... persons pending registration with investment advisers (not dually registered with a FINRA broker-dealer), non-FINRA broker-dealers and issuer/dealers, fingerprints must be ... WebApr 7, 2024 · Typically, the net worth required of investment advisers with discretionary authority is $10,000 and that for those taking custody is $35,000. An adviser who does not exercise discretion and does not maintain custody, but does accept prepayment of fees of more than $500, six or more months in advance, must maintain a positive net worth at all ... bitnami owncloud ssh
Protectors and Directors and Advisers: Oh My! The New …
WebIn July 2024, Florida adopted the new Florida Uniform Directed Trust Act (FUDTA), in response to the increased use of directed trusts in Florida. Simply put, a directed trust is … Web517.12. Registration of dealers, associated persons, intermediaries, and investment advisers. 517.1201. Notice filing requirements for federal covered advisers. 517.1202. Notice-filing requirements for branch offices. 517.1205. Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser ... Web517.111. Revocation or denial of registration of securities. 517.12. Registration of dealers, associated persons, intermediaries, and investment advisers. 517.1201. Notice filing requirements for federal covered advisers. 517.1202. Notice-filing requirements for branch offices. 517.1205. bitnami phpmyadmin access