517.101 – Consent to Service.
517.101 Consent to service.— (1) Upon any initial application for registration under s. 517.081 or s. 517.082 or upon request of the office, the issuer shall file with such application the irrevocable written consent of the issuer that in suits, proceedings, and actions growing out of the violation of any provision of this chapter, the service on […]
517.111 – Revocation or Denial of Registration of Securities.
517.111 Revocation or denial of registration of securities.— (1) The office may revoke or suspend the registration of any security, or may deny any application to register securities, if upon examination into the affairs of the issuer of such security it shall appear that: (a) The issuer is insolvent; (b) The issuer or any officer, director, or control person […]
517.12 – Registration of Dealers, Associated Persons, Intermediaries, and Investment Advisers.
517.12 Registration of dealers, associated persons, intermediaries, and investment advisers.— (1) No dealer, associated person, or issuer of securities shall sell or offer for sale any securities in or from offices in this state, or sell securities to persons in this state from offices outside this state, by mail or otherwise, unless the person has been registered […]
516.35 – Credit Insurance Must Comply With Credit Insurance Act.
516.35 Credit insurance must comply with credit insurance act.— (1) Tangible property offered as security may be reasonably insured against loss for a reasonable term, considering the circumstances of the loan. If such insurance is sold at standard rates through a person duly licensed by the Department of Financial Services and if the policy is payable to […]
517.1201 – Notice Filing Requirements for Federal Covered Advisers.
517.1201 Notice filing requirements for federal covered advisers.— (1) It is unlawful for a person to transact business in this state as a federal covered adviser unless such person has made a notice filing with the office. A notice filing under this section shall consist of a copy of those documents that have been filed or are […]
516.36 – Installment Requirement.
516.36 Installment requirement.—Every loan made pursuant to this chapter must be repaid in periodic installments as nearly equal as mathematically practicable, except that the final payment may be less than the amount of the prior installments. Installments may be due every 2 weeks, semimonthly, or monthly. This section does not apply to lines of credit. History.—s. […]
517.1202 – Notice-Filing Requirements for Branch Offices.
517.1202 Notice-filing requirements for branch offices.— (1) It is unlawful for a dealer or investment adviser to conduct business from a branch office in this state unless the dealer or investment adviser has made a branch office notice-filing with the office. A notice-filing under this section shall consist of a form that the commission may prescribe by […]
517.011 – Short Title.
517.011 Short title.—This chapter may be cited as the “Florida Securities and Investor Protection Act.” History.—s. 1, ch. 78-435; s. 5, ch. 80-254; s. 391, ch. 81-259; ss. 2, 3, ch. 81-318; s. 1, ch. 84-159; s. 1, ch. 85-165; ss. 14, 15, ch. 90-362; s. 4, ch. 91-429.
517.1205 – Registration of Associated Persons Specific as to Securities Dealer, Investment Adviser, or Federal Covered Adviser Identified at Time of Registration Approval.
517.1205 Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval.—Inasmuch as this chapter is intended to protect investors in securities offerings and other investment transactions regulated by that chapter, its provisions are to be construed to require full and fair disclosure of all, but […]
517.021 – Definitions.
517.021 Definitions.—When used in this chapter, unless the context otherwise indicates, the following terms have the following respective meanings: (1) “Affiliate” means a person that directly, or indirectly through one or more intermediaries, controls, is controlled by, or is under common control with an applicant or registrant. (2) “Associated person” means: (a) With respect to a dealer or investment […]