Chapter 517
Securities Transactions

Sections

517.201
Investigations; examinations; subpoenas; hearings; witnesses
517.211
Private remedies available in cases of unlawful sale
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
517.313
Destroying certain records; reproduction
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; examination techniques or procedures

Current through Fall 2025

Chap. 517. Securities Transactions's source at flsenate​.gov