SENATE AMENDMENT

    Bill No. HB 3239, 1st Eng.

    Amendment No.    

                            CHAMBER ACTION
              Senate                               House
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11  Senator Horne moved the following amendment:

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13         Senate Amendment 

14         On page 13, lines 22-29, delete those lines

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16  and insert:

17         (4)  No investment adviser or associated person of an

18  investment adviser or federal covered adviser shall engage in

19  business from offices in this state, or render investment

20  advice to persons of this state, by mail or otherwise, unless

21  the federal covered adviser has made a notice filing with the

22  department pursuant to s. 517.1201 or the investment adviser

23  is registered pursuant to the provisions of this chapter and

24  associated persons of the federal covered adviser or

25  investment adviser have been registered with the department

26  pursuant to this section. The department shall not register

27  any person or an associated person of a federal covered

28  adviser or an investment adviser unless the federal covered

29  adviser or investment adviser with which the applicant seeks

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    11:07 AM   04/14/98                               h3239b-06k6c