Florida Statute 517.121 | Lawyer Caselaw & Research

The 2024 Florida Statutes

Title XXXIII
REGULATION OF TRADE, COMMERCE, INVESTMENTS, AND SOLICITATIONS

Chapter 517
SECURITIES TRANSACTIONS

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F.S. 517.121

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 The suspension may be rescinded if the registrant or notice-filed branch office submits the requested records to the office.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.

History.—ss. 10, 15, ch. 85-165; ss. 7, 14, 15, ch. 90-362; s. 4, ch. 91-429; s. 597, ch. 2003-261; s. 5, ch. 2009-242; s. 4, ch. 2013-202; s. 5, ch. 2015-171.

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Amendments to 517.121

Arrestable Offenses / Crimes under Fla. Stat. 517.121

Level: Degree
Misdemeanor/Felony: First/Second/Third

Current data shows no reason an arrest or criminal charge should have occurred directly under Florida Statute 517.121.

Annotations, Discussions, Cases:

Cases Citing Statute 517.121

Total Results: 12

STATE OF FLORIDA v. BRYANT MOSS

Court: Fla. Dist. Ct. App. | Date Filed: 2021-09-15T00:53:00-07:00

Snippet: Parke v. Raley, 506 U.S. 20, 113 S. Ct. 517, 121 L. Ed. 2d 391 (1992)); see also Cross v.

State v. Kelly

Court: Fla. | Date Filed: 2008-12-29T23:53:00-08:00

Citation: 999 So. 2d 1029

Snippet: with Parke v. Raley, 506 U.S. 20, 29, 113 S.Ct. 517, 121 L.Ed.2d 391 (1992) ("To import Boykin'

JRD Management Corp. v. Dulin

Court: Fla. Dist. Ct. App. | Date Filed: 2004-08-25T00:53:00-07:00

Citation: 883 So. 2d 314

Snippet: see also Quarton v. Am. Law Book Co., 143 Ia. 517, 121 N.W. 1009 (1909) ("The question whether a

Grant v. State

Court: Fla. | Date Filed: 2000-11-01T23:53:00-08:00

Citation: 770 So. 2d 655

Snippet: (citing Parke v. Raley, 506 U.S. 20, 113 S.Ct. 517, 121 L.Ed.2d 391 (1992)); see also Cross v. State,

State v. Cotton

Court: Fla. | Date Filed: 2000-06-15T00:53:00-07:00

Citation: 769 So. 2d 345

Snippet: generally Parke v. Raley, 506 U.S. 20, 27, 113 S.Ct. 517, 121 L.Ed.2d 391 (observing that the "States have

Chambers v. State

Court: Fla. Dist. Ct. App. | Date Filed: 2000-02-10T23:53:00-08:00

Citation: 752 So. 2d 64

Snippet: quot; See Parke v. Raley, 506 U.S. 20, 113 S.Ct. 517, 121 L.Ed.2d 391 (1992), cited in Rollinson v. State

Rollinson v. State

Court: Fla. Dist. Ct. App. | Date Filed: 1999-09-29T00:53:00-07:00

Citation: 743 So. 2d 585

Snippet: provision. See Parke v. Raley, 506 U.S. 20, 113 S.Ct. 517, 121 L.Ed.2d 391 (1992); see generally Witte v. United

Rollinson v. State

Court: Fla. Dist. Ct. App. | Date Filed: 1999-09-29T00:00:00-07:00

Citation: 743 So. 2d 585, 1999 Fla. App. LEXIS 12727

Snippet: provision. See Parke v. Raley, 506 U.S. 20, 113 S.Ct. 517, 121 L.Ed.2d 391 (1992); see generally Witte v. United

Glessner v. Duval County

Court: Fla. Dist. Ct. App. | Date Filed: 1967-10-17T00:53:00-07:00

Citation: 203 So. 2d 330

Snippet: the case of City of Greenwood v. Gwin, 153 Miss. 517, 121 So. 160, supra, that the reserved right of the

Leroy Kimes v. State

Court: Fla. | Date Filed: 1935-12-10T00:00:00-08:00

Citation: 164 So. 517, 121 Fla. 866, 1935 Fla. LEXIS 1659

Snippet: Brown, Terrell, Buford 10 December 1935 164 So. 517, 121 Fla. 866, 1935 Fla. LEXIS 1659 W.P. Chavous,

City of Jacksonville v. Shaffer Et Ux.

Court: Fla. | Date Filed: 1932-12-06T00:00:00-08:00

Citation: 144 So. 888, 107 Fla. 367

Snippet: been decided. City of Greenwood v. Gwin,153 Miss. 517, 121 Sou. Rep. 160. But it has also been held, in line

Coral Realty Co. v. Peacock Holding Co.

Court: Fla. | Date Filed: 1931-12-21T00:00:00-08:00

Citation: 138 So. 622, 103 Fla. 916

Snippet: would be binding upon them. Fain vs. Adams,97 Fla. 517, 121 So.2d 562. See Worley vs. Dade County Security