State/Jurisdiction Mandating Information Regarding Investment Adviser Registration
The information made available on this Web Page has been supplied by states/jurisdictions that wish to communicate mandates concerning investment adviser (IA) registration. This page does not claim to list or provide information about every IA registration mandate. Please check with states/jurisdictions for complete information. A State Directory is available on the NASAA Web Site.
Please check the NASAA Web Site for any additional IA registration mandating information.
FLORIDA:
The Florida Office of Financial Regulation (Office) has mandated use of the IARD system for purposes of investment adviser firm (IA) registration and Web CRD for the purposes of investment adviser representative (RA) registration beginning October 1, 2006.
All IAs that are not already registered via IARD must transition their currently approved registrations onto the IARD system and the approved registrations of any adviser agents onto CRD. Firms should begin the Entitlement Process immediately, and are encouraged to complete the process by 11 p.m., ET, November 3, 2006, when the transition capability shuts down for renewals.
(This information was provided by the Florida Office of Financial Regulation on August 17, 2006.)
| Top |
