Syfert Injury Law Firm

Short title.

Definitions.

Rulemaking; immunity for acts in conformity with rules.

Exempt securities.

Exempt transactions.

The Florida Limited Offering Exemption.

Florida Invest Local Exemption.

Failure to comply with a securities registration exemption.

Integration of offerings.

Solicitations of interest.

Disqualification.

Registration of securities.

Viatical settlement investments.

Cuba, prospectus disclosure of doing business with, required.

Registration procedure.

Registration by notification; federal registration statements.

Consent to service.

Revocation or denial of registration of securities.

Registration of dealers, associated persons, intermediaries, and investment advisers.

Notice filing requirements for federal covered advisers.

Notice-filing requirements for branch offices.

Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval.

Books and records requirements; examinations.

Continuing education requirements for associated persons of investment advisers and federal covered advisers.

Requirements, rules of conduct, and prohibited business practices for investment advisers and their associated persons.

Rules of conduct and prohibited business practices for dealers and their associated persons and for intermediaries.

Arbitration.

Securities Guaranty Fund.

Payment from the fund.

Investments of the fund.

Revocation, denial, or suspension of registration of dealer, investment adviser, intermediary, or associated person.

Guidelines.

Burden of proof.

Enforcement by the Office of Financial Regulation; enforcement by Attorney General.

Investigations; examinations; subpoenas; hearings; witnesses.

Confidentiality of information relating to investigations and examinations.

Public records exemption; examination techniques or procedures.

Private remedies available in cases of unlawful sale.

Commodities; prohibited practices.

Fraudulent transactions; falsification or concealment of facts.

Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution.

Destroying certain records; reproduction.

Fees.

Exemption from excise tax, certain obligations to pay.

Protection of specified adults.