517.1215 – Requirements, Rules of Conduct, and Prohibited Business Practices for Investment Advisors and Their Associated Persons.
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 advisors deemed to have custody of client funds which concern the following: (a) Notification of custody of, maintenance of, and safeguards for client funds. (b) Communications with clients and independent representatives. (c) Requirements for […]
517.241 – Remedies.
517.241 Remedies.— (1) Any person aggrieved by a final order of the office may have the order reviewed as provided by chapter 120, the Administrative Procedure Act. (2) Nothing in this chapter limits any statutory or common-law right of a person to bring an action in a court for an act involved in the sale of securities or […]
517.1217 – Rules of Conduct and Prohibited Business Practices for Dealers and Their Associated Persons.
517.1217 Rules of conduct and prohibited business practices for dealers and their associated persons.—The commission by rule may establish rules of conduct and prohibited business practices for dealers and their associated persons. In adopting the rules, the commission shall consider general industry standards as expressed in the rules and regulations of the various federal and self-regulatory […]
517.275 – Commodities; Prohibited Practices.
517.275 Commodities; prohibited practices.—It is unlawful and a violation of this chapter for any person to engage in any act or practice in or from this state, which act or practice constitutes a violation of any provision of the Commodity Exchange Act, 7 U.S.C. ss. 1 et seq., as amended, or the rules and regulations of […]
517.122 – Arbitration.
517.122 Arbitration.—Any agreement to provide services that are covered by this chapter, entered into after October 1, 1996, by a person required to register under this chapter, for arbitration of disputes arising under the agreement may provide to an aggrieved party the option of having arbitration before and pursuant to the rules of the American Arbitration […]
517.301 – Fraudulent Transactions; Falsification or Concealment of Facts.
517.301 Fraudulent transactions; falsification or concealment of facts.— (1) It is unlawful and a violation of the provisions of this chapter for a person: (a) In connection with the rendering of any investment advice or in connection with the offer, sale, or purchase of any investment or security, including any security exempted under the provisions of s. 517.051 […]
517.0611 – Intrastate Crowdfunding.
517.0611 Intrastate crowdfunding.— (1) This section may be cited as the “Florida Intrastate Crowdfunding Exemption.” (2) Notwithstanding any other provision of this chapter, an offer or sale of a security by an issuer is an exempt transaction under s. 517.061 if the offer or sale is conducted in accordance with this section. The exemption provided in this section […]
517.07 – Registration of Securities.
517.07 Registration of securities.— (1) It is unlawful and a violation of this chapter for any person to sell or offer to sell a security within this state unless the security is exempt under s. 517.051, is sold in a transaction exempt under s. 517.061, is a federal covered security, or is registered pursuant to this chapter. […]
517.072 – Viatical Settlement Investments.
517.072 Viatical settlement investments.— (1) The exemptions provided for by ss. 517.051(6), (8), and (10) do not apply to a viatical settlement investment. (2) The offering of a viatical settlement investment is not an exempt transaction under s. 517.061(2), (3), (8), (11), and (18), regardless of whether the offering otherwise complies with the conditions of that section, unless […]
517.075 – Cuba, Prospectus Disclosure of Doing Business With, Required.
517.075 Cuba, prospectus disclosure of doing business with, required.— (1) Any issuer of securities that will be sold in this state pursuant to a prospectus must disclose in the prospectus if the issuer or any affiliate thereof, as defined in s. 517.021(1), does business with the government of Cuba or with any person or affiliate located in […]