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2012 Florida Statutes
Chapter 517
SECURITIES TRANSACTIONS Entire Chapter
SECURITIES TRANSACTIONS Entire Chapter
CHAPTER 517
SECURITIES TRANSACTIONS
517.1205
Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval.
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.
517.161
Revocation, denial, or suspension of registration of dealer, investment adviser, associated person, or branch office.
517.302
Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution.