The Division of Securities administers and enforces compliance with the Florida Securities and Investor Protection Act, designed to protect the investing public and promote economic growth. The division regulates the sale of securities in, to or from Florida to determine compliance with state law. The division is organized into a Bureau of Registrations that registers firms and their employees, and a Bureau of Enforcement that conducts examinations of registered entities throughout the state and processes complaints.
An applicant for licensure under Chapter 517, Florida Statutes, may be asked for his or her Social Security number to enable the Florida Office of Financial Regulation to perform its duties and responsibilities prescribed by law. Sections 517.12(7)(a) and 517.12(20)(b)1, Florida Statutes, authorize the collection of an applicant's Social Security number when the applicant has applied for registration under Chapter 517, Florida Statutes.
Bureau of Registration: processes and evaluates applications for firms and individuals seeking registration to conduct business in Florida.
Bureau of Enforcement: conducts examinations of registered securities dealers, investment advisers, branch offices and associated persons to determine compliance with the Securities and Investor Protection Act.
Investment Advisers - Federal Covered Advisers: Associated Person, Branch Office, Firm
Disciplinary Guidelines per Chapter 517.1611(1), Florida Statutes.