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2011 Florida Statutes
Chapter 517
SECURITIES TRANSACTIONS Entire Chapter
SECURITIES TRANSACTIONS Entire Chapter
CHAPTER 517
SECURITIES TRANSACTIONS
517.011
Short title.
517.021
Definitions.
517.03
Rulemaking; immunity for acts in conformity with rules.
517.051
Exempt securities.
517.061
Exempt transactions.
517.07
Registration of securities.
517.072
Viatical settlement investments.
517.075
Cuba, prospectus disclosure of doing business with, required.
517.081
Registration procedure.
517.082
Notification registration.
517.101
Consent to service.
517.111
Revocation or denial of registration of securities.
517.12
Registration of dealers, associated persons, investment advisers, and branch offices.
517.1201
Notice filing requirements for federal covered advisers.
517.1205
Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval.
517.121
Books and records requirements; examinations.
517.1215
Requirements, rules of conduct, and prohibited business practices for investment advisors and their associated persons.
517.1217
Rules of conduct and prohibited business practices for dealers and their associated persons.
517.122
Arbitration.
517.131
Securities Guaranty Fund.
517.141
Payment from the fund.
517.151
Investments of the fund.
517.161
Revocation, denial, or suspension of registration of dealer, investment adviser, associated person, or branch office.
517.1611
Guidelines.
517.171
Burden of proof.
517.181
Escrow agreement.
517.191
Injunction to restrain violations; civil penalties; enforcement by Attorney General.
517.201
Investigations; examinations; subpoenas; hearings; witnesses.
517.2015
Confidentiality of information relating to investigations and examinations.
517.2016
Public records exemption; examination techniques and procedures.
517.211
Remedies available in cases of unlawful sale.
517.221
Cease and desist orders.
517.241
Remedies.
517.275
Commodities; prohibited practices.
517.301
Fraudulent transactions; falsification or concealment of facts.
517.302
Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution.
517.311
False representations; deceptive words; enforcement.
517.312
Securities, investments, boiler rooms; prohibited practices; remedies.
517.313
Destroying certain records; reproduction.
517.315
Fees.
517.32
Exemption from excise tax, certain obligations to pay.