2007 Florida Statutes
Books and records requirements; examinations.
517.121 Books and records requirements; examinations.--
(1) A dealer, investment adviser, branch office, or associated person shall maintain such books and records as the commission may prescribe by rule.
(2) The office shall, at intermittent periods, examine the affairs and books and records of each registered dealer, investment adviser, branch office, or associated person, or require such records and reports to be submitted to it as required by rule of the commission, to determine compliance with this act.
History.--ss. 10, 15, ch. 85-165; ss. 7, 14, 15, ch. 90-362; s. 4, ch. 91-429; s. 597, ch. 2003-261.