SECTION 517.121. Books and records requirements; examinations.

Latest version.

1(1) 2A dealer, investment adviser, branch office, associated person, or intermediary shall maintain such books and records as the commission may prescribe by rule.
25(2) 26The office shall, at intermittent periods, examine the affairs and books and records of each registered dealer, investment adviser, associated person, intermediary, or branch office notice-filed with the office, or require such records and reports to be submitted to it as required by rule of the commission, to determine compliance with this act.
79(3) 80Registration under s. 83517.12 84or notification under s. 88517.1202 89may be summarily suspended by the office pursuant to s. 99120.60(6) 100if the registrant or notice-filed branch office fails to promptly provide to the office, after a written request, any of the records required by this section and the rules adopted under this section. The suspension may be rescinded if the registrant or notice-filed branch office submits the requested records to the office. For purposes of s. 156120.60(6), 157failure to provide substantially all of such records constitutes immediate and serious danger to the public health, safety, and welfare.

History.-ss. 10, 15, ch. 85-165; ss. 7, 14, 15, ch. 90-362; s. 4, ch. 91-429; s. 597, ch. 2003-261; s. 5, ch. 2009-242; s. 4, ch. 2013-202; s. 5, ch. 2015-171.

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