Fla. Stat. 517.121
Books and records requirements; examinations

(1)

A dealer, investment adviser, branch office, associated person, or intermediary 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, associated person, intermediary, or branch office notice-filed with the office, or require such records and reports to be submitted to it as required by rule of the commission, to determine compliance with this act.

(3)

Registration under s. 517.12 or notification under s. 517.1202 may be summarily suspended by the office pursuant to s. 120.60(6) if the registrant or notice-filed branch office fails to promptly provide to the office, after a written request, any of the records required by this section and the rules adopted under this section. The suspension may be rescinded if the registrant or notice-filed branch office submits the requested records to the office. For purposes of s. 120.60(6), failure to provide substantially all of such records constitutes immediate and serious danger to the public health, safety, and welfare.

Source: Section 517.121 — Books and records requirements; examinations, https://www.­flsenate.­gov/Laws/Statutes/2024/0517.­121 (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

§ 517.121. Books & records requirements; examinations's source at flsenate​.gov