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 […]
517.2015 – Confidentiality of Information Relating to Investigations and Examinations.
517.2015 Confidentiality of information relating to investigations and examinations.— (1)(a) Except as otherwise provided by this section, information relative to an investigation or examination by the office pursuant to this chapter, including any consumer complaint, is confidential and exempt from s. 119.07(1) until the investigation or examination is completed or ceases to be active. The information compiled […]
517.2016 – Public Records Exemption; Examination Techniques or Procedures.
517.2016 Public records exemption; examination techniques or procedures.— (1) As used in this section, the term “examination techniques or procedures” means the methods, processes, and guidelines used to evaluate regulatory compliance and to collect and analyze data, records, and testimony for the purpose of documenting violations of this chapter and the rules adopted thereunder. (2) Information that would […]
517.211 – Remedies Available in Cases of Unlawful Sale.
517.211 Remedies available in cases of unlawful sale.— (1) Every sale made in violation of either s. 517.07 or s. 517.12(1), (4), (5), (9), (11), (13), (16), or (18) may be rescinded at the election of the purchaser, except a sale made in violation of the provisions of s. 517.1202(3) relating to a renewal of a branch […]
517.221 – Cease and Desist Orders.
517.221 Cease and desist orders.— (1) The office may issue and serve upon a person a cease and desist order whenever the office has reason to believe that such person is violating, has violated, or is about to violate any provision of this chapter, any rule or order promulgated by the commission or office, or any written […]