Associated Person
Amendments and Maintaining Florida Registration

Amendments to Form U-4

If the information contained on the Form U-4, Uniform Application for Securities Industry Registration or Transfer, becomes inaccurate for any reason, the dealer, investment adviser (state registered) or federal covered adviser shall file an amendment on the Form U-4 correcting the information within 30 days.

Dealers - FINRA members, Investment Advisers (State Registered) and Federal Covered Advisers. All associated person amendment filings shall be made through the CRD system.

Dealers - Non-FINRA members and Issuer Dealers. All associated person amendment filings shall be made through the Regulatory Enforcement and Licensing System (REAL) of the Office of Financial Regulation (OFR).

Termination of Associated Person Registration

All dealer, investment adviser (state registered) and federal covered adviser registrants shall file notices of termination for their associated persons on the Form U-4, Uniform Application for Securities Industry Registration or Transfer form.

Dealers - FINRA members, Investment Advisers (State Registered) and Federal Covered Advisers. All terminations for associated persons shall be made through the CRD system.

Dealers - Non-FINRA members and Issuer Dealers. All terminations for associated persons shall be made through the Regulatory Enforcement and Licensing System (REAL) of the Office of Financial Regulation (OFR).

Renewal of Associated Person Registration

All associated person registrations expire at the end of each calendar year and must be renewed timely for the registrant to remain registered to do business in Florida.

Dealers - FINRA members, Investment Advisers (State Registered) and Federal Covered Advisers. Associated person renewal fees for all FINRA member dealers, investment advisers (state registered) and federal covered advisers shall be submitted through the CRD system in accordance with FINRA guidelines. It is incumbent upon the registrant, not the Office, to ensure that the renewal payment is submitted timely. The renewal fee is $50 for each associated person. Reference Ch. 517.12 (11), F.S. and Rule 69W-600.009, F.A.C. for additional guidance.

Dealers - Non-FINRA members and Issuer Dealers. Associated person renewal fees for non-FINRA member firms and issuer dealers shall be filed electronically on the Office's website at www.flofr.com through the REAL system of the OFR. It is incumbent upon the registrant, not the Office, to ensure that the renewal payment is submitted timely. The renewal fee is $50 for each associated person. Reference Chapter 517.12 (11), F.S., and Rule 69W-600.009, F.A.C., for additional guidance.