Section 5.12. Transition filing.

Latest version.

An agent who is registered in this state on December 31, 2008 for a registered broker-dealer that was also approved to act as an investment adviser in this state and who also met the examination requirement in s. DFI-Sec 5.01 (3) , shall make a transition filing electronically with the investment adviser registration depository not later than June 1, 2009.

emerg. cr. eff. 1-1-01; CR 01-025 : cr. Register July 2001, No. 547 eff. 8-1-01; CR 02-102 : am. (4), Register December 2002 No. 564 , eff. 1-1-03; CR 08-077 : r. and recr. Register December 2008 No. 636 , eff. 1-1-09.

                    
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