Florida Statutes
Title XXXIII - Regulation of Trade, Commerce, Investments, and Solicitations
Chapter 517 - Securities Transactions

517.011 - Short Title. - History.—s. 1, ch. 78-435; s. 5, ch. 80-254; s. 391,...

517.021 - Definitions. - (1) “Affiliate” means a person that directly, or indirectly through...

517.03 - Rulemaking; Immunity for Acts in Conformity With Rules. - (1) The office shall administer and provide for the enforcement...

517.051 - Exempt Securities. - (1) A security issued or guaranteed by the United States...

517.061 - Exempt Transactions. - (1) At any judicial, executor’s, administrator’s, guardian’s, or conservator’s sale,...

517.0611 - Intrastate Crowdfunding. - (1) This section may be cited as the “Florida Intrastate...

517.07 - Registration of Securities. - (1) It is unlawful and a violation of this chapter...

517.072 - Viatical Settlement Investments. - (1) The exemptions provided for by ss. 517.051(6), (8), and...

517.075 - Cuba, Prospectus Disclosure of Doing Business With, Required. - (1) Any issuer of securities that will be sold in...

517.081 - Registration Procedure. - (1) All securities required by this chapter to be registered...

517.082 - Notification Registration. - (1) Except as provided in subsection (3), securities offered or...

517.101 - Consent to Service. - (1) Upon any initial application for registration under s. 517.081...

517.111 - Revocation or Denial of Registration of Securities. - (1) The office may revoke or suspend the registration of...

517.12 - Registration of Dealers, Associated Persons, Intermediaries, and Investment Advisers. - (1) No dealer, associated person, or issuer of securities shall...

517.1201 - Notice Filing Requirements for Federal Covered Advisers. - (1) It is unlawful for a person to transact business...

517.1202 - Notice-Filing Requirements for Branch Offices. - (1) It is unlawful for a dealer or investment adviser...

517.1205 - Registration of Associated Persons Specific as to Securities Dealer, Investment Adviser, or Federal Covered Adviser Identified at Time of Registration Approval. - History.—s. 3, ch. 88-187; s. 1, ch. 89-296; ss. 14,...

517.121 - Books and Records Requirements; Examinations. - (1) A dealer, investment adviser, branch office, associated person, or...

517.1215 - Requirements, Rules of Conduct, and Prohibited Business Practices for Investment Advisors and Their Associated Persons. - (1) The commission shall specify by rule requirements for investment...

517.1217 - Rules of Conduct and Prohibited Business Practices for Dealers and Their Associated Persons. - History.—s. 5, ch. 2005-237; s. 7, ch. 2009-242.

517.122 - Arbitration. - History.—ss. 9, 15, ch. 86-85; ss. 8, 14, 15, ch....

517.131 - Securities Guaranty Fund. - (1)(a) The Chief Financial Officer shall establish a Securities Guaranty...

517.141 - Payment From the Fund. - (1) Any person who meets all of the conditions prescribed...

517.151 - Investments of the Fund. - History.—s. 5, ch. 78-435; s. 5, ch. 80-254; ss. 2,...

517.161 - Revocation, Denial, or Suspension of Registration of Dealer, Investment Adviser, Intermediary, or Associated Person. - (1) Registration under s. 517.12 may be denied or any...

517.1611 - Guidelines. - (1) The commission shall adopt by rule disciplinary guidelines applicable...

517.171 - Burden of Proof. - History.—s. 5, ch. 78-435; s. 5, ch. 80-254; s. 394,...

517.181 - Escrow Agreement. - (1) If the statement containing information as to securities to...

517.191 - Injunction to Restrain Violations; Civil Penalties; Enforcement by Attorney General. - (1) When it appears to the office, either upon complaint...

517.201 - Investigations; Examinations; Subpoenas; Hearings; Witnesses. - (1) The office: (a) May make investigations and examinations within...

517.2015 - Confidentiality of Information Relating to Investigations and Examinations. - (1)(a) Except as otherwise provided by this section, information relative...

517.2016 - Public Records Exemption; Examination Techniques or Procedures. - (1) As used in this section, the term “examination techniques...

517.211 - Remedies Available in Cases of Unlawful Sale. - (1) Every sale made in violation of either s. 517.07...

517.221 - Cease and Desist Orders. - (1) The office may issue and serve upon a person...

517.241 - Remedies. - (1) Any person aggrieved by a final order of the...

517.275 - Commodities; Prohibited Practices. - History.—ss. 12, 15, ch. 84-159; ss. 14, 15, ch. 90-362;...

517.301 - Fraudulent Transactions; Falsification or Concealment of Facts. - (1) It is unlawful and a violation of the provisions...

517.302 - Criminal Penalties; Alternative Fine; Anti-Fraud Trust Fund; Time Limitation for Criminal Prosecution. - (1) Whoever violates any of the provisions of this chapter...

517.311 - False Representations; Deceptive Words; Enforcement. - (1) It is unlawful for any person in issuing or...

517.312 - Securities, Investments, Boiler Rooms; Prohibited Practices; Remedies. - (1) It is unlawful and a violation of this chapter...

517.313 - Destroying Certain Records; Reproduction. - (1) The commission and office may photograph, microphotograph, or reproduce...

517.315 - Fees. - (1) The office shall transfer the amount of fees required...

517.32 - Exemption From Excise Tax, Certain Obligations to Pay. - History.—s. 1, ch. 57-823; ss. 12, 35, ch. 69-106; s....

517.34 - Protection of Specified Adults. - (1) As used in this section, the term: (a) “Financial...