Florida Statutes (Last Updated: April 21, 2021) |
TITLE XXXIII. REGULATION OF TRADE, COMMERCE, INVESTMENTS, AND SOLICITATIONS |
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. |