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The Florida Statutes

The 2008 Florida Statutes

Title XXXIII
REGULATION OF TRADE, COMMERCE, INVESTMENTS, AND SOLICITATIONS
Chapter 517
SECURITIES TRANSACTIONS
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Chapter 517, Florida Statutes 2008

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.

517.07  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, investment advisers, and branch offices.

517.1201  Notice filing requirements for federal covered advisers.

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, associated person, or branch office.

517.171  Burden of proof.

517.181  Escrow agreement.

517.191  Injunction to restrain violations.

517.201  Investigations; examinations; subpoenas; hearings; witnesses.

517.2015  Confidentiality of information relating to investigations and examinations.

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.