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The Florida Statutes

The 2024 Florida Statutes

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