eLaws of Florida

 

  CHAPTER 517. SECURITIES TRANSACTIONS  


SECTION 517.011. Short title.
SECTION 517.021. Definitions.
SECTION 517.03. Rulemaking; immunity for acts in conformity with rules.
SECTION 517.051. Exempt securities.
SECTION 517.061. Exempt transactions.
SECTION 517.0611. Intrastate crowdfunding.
SECTION 517.07. Registration of securities.
SECTION 517.072. Viatical settlement investments.
SECTION 517.075. Cuba, prospectus disclosure of doing business with, required.
SECTION 517.081. Registration procedure.
SECTION 517.082. Notification registration.
SECTION 517.101. Consent to service.
SECTION 517.111. Revocation or denial of registration of securities.
SECTION 517.12. Registration of dealers, associated persons, intermediaries, and investment advisers.
SECTION 517.1201. Notice filing requirements for federal covered advisers.
SECTION 517.1202. Notice-filing requirements for branch offices.
SECTION 517.1205. Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval.
SECTION 517.121. Books and records requirements; examinations.
SECTION 517.1215. Requirements, rules of conduct, and prohibited business practices for investment advisors and their associated persons.
SECTION 517.1217. Rules of conduct and prohibited business practices for dealers and their associated persons.
SECTION 517.122. Arbitration.
SECTION 517.131. Securities Guaranty Fund.
SECTION 517.141. Payment from the fund.
SECTION 517.151. Investments of the fund.
SECTION 517.161. Revocation, denial, or suspension of registration of dealer, investment adviser, intermediary, or associated person.
SECTION 517.1611. Guidelines.
SECTION 517.171. Burden of proof.
SECTION 517.181. Escrow agreement.
SECTION 517.191. Injunction to restrain violations; civil penalties; enforcement by Attorney General.
SECTION 517.201. Investigations; examinations; subpoenas; hearings; witnesses.
SECTION 517.2015. Confidentiality of information relating to investigations and examinations.
SECTION 517.2016. Public records exemption; examination techniques or procedures.
SECTION 517.211. Remedies available in cases of unlawful sale.
SECTION 517.221. Cease and desist orders.
SECTION 517.241. Remedies.
SECTION 517.275. Commodities; prohibited practices.
SECTION 517.301. Fraudulent transactions; falsification or concealment of facts.
SECTION 517.302. Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution.
SECTION 517.311. False representations; deceptive words; enforcement.
SECTION 517.312. Securities, investments, boiler rooms; prohibited practices; remedies.
SECTION 517.313. Destroying certain records; reproduction.
SECTION 517.315. Fees.
SECTION 517.32. Exemption from excise tax, certain obligations to pay.
SECTION 517.34. Protection of specified adults.