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, […]
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 […]
517.03 – Rulemaking; Immunity for Acts in Conformity With Rules.
517.03 Rulemaking; immunity for acts in conformity with rules.— (1) The office shall administer and provide for the enforcement of all the provisions of this chapter. The commission may adopt rules pursuant to ss. 120.536(1) and 120.54 to implement the provisions of this chapter conferring powers or duties upon the office, including, without limitation, adopting rules and […]