Florida Chapter 517 — Securities Transactions
45 sections hosted, reproduced from the official public-domain source.
- Fla. Stat. § 517.03— Rulemaking; immunity for acts in conformity with rules
- Fla. Stat. § 517.07— Registration of securities
- Fla. Stat. § 517.011— Short title
- Fla. Stat. § 517.12— Registration of dealers, associated persons, intermediaries, and investment advisers
- Fla. Stat. § 517.021— Definitions
- Fla. Stat. § 517.32— Exemption from excise tax, certain obligations to pay
- Fla. Stat. § 517.34— Protection of specified adults
- Fla. Stat. § 517.051— Exempt securities
- Fla. Stat. § 517.061— Exempt transactions
- Fla. Stat. § 517.072— Viatical settlement investments
- Fla. Stat. § 517.075— Cuba, prospectus disclosure of doing business with, required
- Fla. Stat. § 517.081— Registration procedure
- Fla. Stat. § 517.082— Registration by notification; federal registration statements
- Fla. Stat. § 517.101— Consent to service
- Fla. Stat. § 517.111— Revocation or denial of registration of securities
- Fla. Stat. § 517.121— Books and records requirements; examinations
- Fla. Stat. § 517.122— Arbitration
- Fla. Stat. § 517.131— Securities Guaranty Fund
- Fla. Stat. § 517.141— Payment from the fund
- Fla. Stat. § 517.151— Investments of the fund
- Fla. Stat. § 517.161— Revocation, denial, or suspension of registration of dealer, investment adviser, intermediary, or associated person
- Fla. Stat. § 517.171— Burden of proof
- Fla. Stat. § 517.191— Enforcement by the Office of Financial Regulation; enforcement by Attorney General
- Fla. Stat. § 517.201— Investigations; examinations; subpoenas; hearings; witnesses
- Fla. Stat. § 517.211— Private remedies available in cases of unlawful sale
- Fla. Stat. § 517.275— Commodities; prohibited practices
- Fla. Stat. § 517.301— Fraudulent transactions; falsification or concealment of facts
- Fla. Stat. § 517.302— Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution
- Fla. Stat. § 517.313— Destroying certain records; reproduction
- Fla. Stat. § 517.315— Fees
- Fla. Stat. § 517.0611— The Florida Limited Offering Exemption
- Fla. Stat. § 517.0612— Florida Invest Local Exemption
- Fla. Stat. § 517.0613— Failure to comply with a securities registration exemption
- Fla. Stat. § 517.0614— Integration of offerings
- Fla. Stat. § 517.0615— Solicitations of interest
- Fla. Stat. § 517.0616— Disqualification
- Fla. Stat. § 517.1201— Notice filing requirements for federal covered advisers
- Fla. Stat. § 517.1202— Notice-filing requirements for branch offices
- Fla. Stat. § 517.1205— Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval
- Fla. Stat. § 517.1214— Continuing education requirements for associated persons of investment advisers and federal covered advisers
- Fla. Stat. § 517.1215— Requirements, rules of conduct, and prohibited business practices for investment advisers and their associated persons
- Fla. Stat. § 517.1217— Rules of conduct and prohibited business practices for dealers and their associated persons and for intermediaries
- Fla. Stat. § 517.1611— Guidelines
- Fla. Stat. § 517.2015— Confidentiality of information relating to investigations and examinations
- Fla. Stat. § 517.2016— Public records exemption; examination techniques or procedures