517.311 – False Representations; Deceptive Words; Enforcement.
517.311 False representations; deceptive words; enforcement.— (1) It is unlawful for any person in issuing or selling any security within the state, including any security exempted under the provisions of s. 517.051 and including any transaction exempted under the provisions of s. 517.061, to misrepresent that such security or company has been guaranteed, sponsored, recommended, or approved […]
517.312 – Securities, Investments, Boiler Rooms; Prohibited Practices; Remedies.
517.312 Securities, investments, boiler rooms; prohibited practices; remedies.— (1) It is unlawful and a violation of this chapter for any person: (a) To offer or sell, in this state or from this state, any security or investment when such offer or sale is in violation of s. 517.301 or s. 517.311; or (b) To directly or indirectly manage, supervise, […]
517.313 – Destroying Certain Records; Reproduction.
517.313 Destroying certain records; reproduction.— (1) The commission and office may photograph, microphotograph, or reproduce on film or prints documents, records, data, and information of a permanent character. (2) The commission and office may destroy any of said documents after audit has been completed for the period embracing the dates of said instruments, after complying with the provisions […]
517.315 – Fees.
517.315 Fees.—All fees of any nature collected by the office pursuant to this chapter shall be disbursed as follows: (1) The office shall transfer the amount of fees required to be deposited into the Securities Guaranty Fund pursuant to s. 517.131; (2) After the transfer required in subsection (1), the office shall transfer the $50 assessment fee collected […]
517.32 – Exemption From Excise Tax, Certain Obligations to Pay.
517.32 Exemption from excise tax, certain obligations to pay.—There shall be exempt from all excise taxes imposed by chapter 201 all promissory notes, nonnegotiable notes, and other written obligations to pay money bearing dates subsequent to July 1, 1957, when the maker thereof is a security dealer registered by the office under this chapter and when […]
517.34 – Protection of Specified Adults.
517.34 Protection of specified adults.— (1) As used in this section, the term: (a) “Financial exploitation” means the wrongful or unauthorized taking, withholding, appropriation, or use of money, assets, or property of a specified adult; or any act or omission by a person, including through the use of a power of attorney, guardianship, or conservatorship of a specified […]
517.141 – Payment From the Fund.
517.141 Payment from the fund.— (1) Any person who meets all of the conditions prescribed in s. 517.131 may apply to the office for payment to be made to such person from the Securities Guaranty Fund in the amount equal to the unsatisfied portion of such person’s judgment or $10,000, whichever is less, but only to the […]
517.151 – Investments of the Fund.
517.151 Investments of the fund.—The funds of the Securities Guaranty Fund shall be invested by the Chief Financial Officer under the same limitations as other state funds, and the interest earned thereon shall be deposited to the credit of the fund and available for the same purpose as other moneys deposited in the Securities Guaranty Fund. […]
517.161 – Revocation, Denial, or Suspension of Registration of Dealer, Investment Adviser, Intermediary, or Associated Person.
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 registration granted may be revoked, restricted, or suspended by the office if the office determines that such applicant or registrant; any member, principal, or director of the applicant or registrant or any […]
517.1611 – Guidelines.
517.1611 Guidelines.— (1) The commission shall adopt by rule disciplinary guidelines applicable to each ground for disciplinary action that may be imposed by the office. (a) The disciplinary guidelines shall specify a range of penalties based upon the severity and repetition of specific offenses. The disciplinary guidelines shall distinguish minor violations from violations that endanger the public health, […]