Florida Statutes
Chapter 517 - Securities Transactions
517.1217 - Rules of Conduct and Prohibited Business Practices for Dealers and Their Associated Persons.

Florida Statutes

Title XXXIII - Regulation of Trade, Commerce, Investments, and Solicitations

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 - Intrastate Crowdfunding.

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 - Notification Registration.

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.

517.1215 - Requirements, Rules of Conduct, and Prohibited Business Practices for Investment Advisors and Their Associated Persons.

517.1217 - Rules of Conduct and Prohibited Business Practices for Dealers and Their Associated Persons.

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.

517.181 - Escrow Agreement.

517.191 - Injunction to Restrain Violations; Civil Penalties; 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 - Remedies Available in Cases of Unlawful Sale.

517.221 - Cease and Desist Orders.

517.241 - Remedies.

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.

517.311 - False Representations; Deceptive Words; Enforcement.

517.312 - Securities, Investments, Boiler Rooms; Prohibited Practices; Remedies.

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.