Fla. Stat. 517.07
Registration of securities


(1)

It is unlawful and a violation of this chapter for any person to sell or offer to sell a security within this state unless the security is exempt under s. 517.051, is sold in a transaction exempt under s. 517.061, is a federal covered security, or is registered pursuant to this chapter.

(2)

No securities that are required to be registered under this chapter shall be sold or offered for sale within this state unless such securities have been registered pursuant to this chapter and unless prior to each sale the purchaser is furnished with a prospectus meeting the requirements of rules adopted by the commission.

(3)

The office shall issue a permit when registration has been granted by the office. A permit to sell securities is effective for 1 year from the date it was granted. Registration of securities shall be deemed to include the registration of rights to subscribe to such securities if the application under s. 517.081 or s. 517.082 for registration of such securities includes a statement that such rights are to be issued.

(4)

A record of the registration of securities shall be kept by the office, in which register of securities shall also be recorded any orders entered by the office with respect to such securities. Such register, and all information with respect to the securities registered therein, shall be open to public inspection.

(5)

Notwithstanding any other provision of this section, offers of securities required to be registered by this section may be made in this state before the registration of such securities if the offers are made in conformity with rules adopted by the commission.

Source: Section 517.07 — Registration of securities, https://www.­flsenate.­gov/Laws/Statutes/2024/0517.­07 (accessed Aug. 7, 2025).

517.03
Rulemaking
517.07
Registration of securities
517.011
Short title
517.12
Registration of dealers, associated persons, intermediaries, and investment advisers
517.021
Definitions
517.32
Exemption from excise tax, certain obligations to pay
517.34
Protection of specified adults
517.051
Exempt securities
517.061
Exempt transactions
517.072
Viatical settlement investments
517.075
Cuba, prospectus disclosure of doing business with, required
517.081
Registration procedure
517.082
Registration by notification
517.101
Consent to service
517.111
Revocation or denial of registration of securities
517.121
Books and records requirements
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, intermediary, or associated person
517.171
Burden of proof
517.191
Enforcement by the Office of Financial Regulation
517.201
Investigations
517.211
Private remedies available in cases of unlawful sale
517.275
Commodities
517.301
Fraudulent transactions
517.302
Criminal penalties
517.313
Destroying certain records
517.315
Fees
517.0611
The Florida Limited Offering Exemption
517.0612
Florida Invest Local Exemption
517.0613
Failure to comply with a securities registration exemption
517.0614
Integration of offerings
517.0615
Solicitations of interest
517.0616
Disqualification
517.1201
Notice filing requirements for federal covered advisers
517.1202
Notice-filing requirements for branch offices
517.1205
Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval
517.1214
Continuing education requirements for associated persons of investment advisers and federal covered advisers
517.1215
Requirements, rules of conduct, and prohibited business practices for investment advisers and their associated persons
517.1217
Rules of conduct and prohibited business practices for dealers and their associated persons and for intermediaries
517.1611
Guidelines
517.2015
Confidentiality of information relating to investigations and examinations
517.2016
Public records exemption

Current through Fall 2025

§ 517.07. Registration of securities's source at flsenate​.gov