517.171 – Burden of Proof.
517.171 Burden of proof.—It shall not be necessary to negate any of the exemptions provided in this chapter in any complaint, information, indictment, or other writ or proceedings brought under this chapter; and the burden of establishing the right to any exemption shall be upon the party claiming the benefit of such exemption. History.—s. 5, ch. […]
517.181 – Escrow Agreement.
517.181 Escrow agreement.— (1) If the statement containing information as to securities to be registered, as provided for in s. 517.081, shall disclose that any such securities or any securities senior thereto shall have been or shall be intended to be issued for any patent right, copyright, trademark, process, formula, or goodwill; for organization or promotion fees […]
517.191 – Injunction to Restrain Violations; Civil Penalties; Enforcement by Attorney General.
517.191 Injunction to restrain violations; civil penalties; enforcement by Attorney General.— (1) When it appears to the office, either upon complaint or otherwise, that a person has engaged or is about to engage in any act or practice constituting a violation of this chapter or a rule or order hereunder, the office may investigate; and whenever it […]
517.201 – Investigations; Examinations; Subpoenas; Hearings; Witnesses.
517.201 Investigations; examinations; subpoenas; hearings; witnesses.— (1) The office: (a) May make investigations and examinations within or outside of this state as it deems necessary: 1. To determine whether a person has violated or is about to violate any provision of this chapter or a rule or order hereunder; or 2. To aid in the enforcement of this chapter. (b) May […]
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 […]
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 […]