Florida Administrative Code

(1) Every licensee under Chapter 520, F.S., that conducts business in a branch office shall apply for a license to operate a branch office using Form OFR-520-02, Application for Branch Office License, revised 12/20/2007, which is hereby incorporated by reference and available on …

(1) Each active license and each active branch office license issued under chapter 520, F.S., shall be renewed for the biennial period beginning January 1 of each odd-numbered year upon receipt of the statutory renewal fee required by Sections 520.03, 520.32, 520.52 and 520.63, F…

(1) Each person licensed under chapter 520, F.S., which proposes to change its name, form of business organization, or any other information contained in any initial application form or any amendment thereto, must file an amendment pursuant to Section 520.999, F.S., not later tha…

(1) For purposes of this rule, "REAL System" means the Office of Financial Regulation's Regulatory Enforcement and Licensing System, which is accessible through the Office of Financial Regulation's website at www.flofr.gov. (2) All forms adopted under rules 69V-85.002 and 69V-85.…

Pursuant to section 520.995(2), F.S., listed below is a range of disciplinary guidelines from which disciplinary penalties will be imposed upon persons guilty of violating chapter 520, F.S. The disciplinary guidelines are based upon a single-act violation of each provision listed…

Rulemaking Authority 520.994(5) FS. Law Implemented 520.995(3)(b), (c) FS. History-New 8-9-95, Formerly 3D-85.200, Repealed 12-20-07.

(1) For the purpose of using the interest rate parity provision in section 687.12, F.S., extensions of credit made by licensees under chapter 520, F.S., are deemed similar to consumer finance loans authorized by chapter 516, F.S. Licensees under chapter 520, F.S., are authorized …

Rulemaking Authority 517.03 FS. Law Implemented 517.051, 517.061, 120.53(1)(b) FS. History-New 12-5-79, Amended 9-20-82, Formerly 3E-100.05, 3E-100.005, Repealed 3-21-24.

Rulemaking Authority 517.03 FS. Law Implemented 517.051, 517.061, 517.081 FS. History-New 12-5-79, Formerly 3E-100.06, 3E-100.006, Repealed 10-1-24.

Rulemaking Authority 517.03 FS. Law Implemented 517.081 FS. History-New 12-5-79, Amended 9-20-82, Formerly 3E-100.07, 3E-100.007, Amended 9-30-10, 9-22-14, Transferred to 69W-700.030.

Rulemaking Authority 517.03(1) FS. Law Implemented 517.07 FS. History-New 12-5-79, Formerly 3E-100.08, Amended 10-1-96, 10-20-97, Formerly 3E-100.008, Transferred to 69W-700.031.

Rulemaking Authority 517.03(1) FS. Law Implemented 517.021(12), (16), 517.07, 517.12 FS. History-New 11-21-96, Formerly 3E-100.010, Repealed 3-21-24.

(1) Pursuant to Section 517.1611, F.S., disciplinary guidelines applicable to each ground for which disciplinary action may be imposed by the Office against an individual or a firm under Chapter 517, F.S., are hereby adopted. The disciplinary guidelines are contained in the Offic…

As used in Chapter 517, F.S., and the rules promulgated thereunder, unless the context otherwise specifically requires: (1) "Accredited Investor" is defined pursuant to S.E.C. Rule 501(a) of Regulation D (17 C.F.R. §230.501(a)), which is incorporated by reference in Rule 69W-200.…

The following general industry standards as expressed in the statutes, rules and regulations of the various federal and self-regulatory agencies and regulatory associations and referenced in Division 69W, F.A.C., are hereby incorporated by reference and adopted by this rule. The …

Rulemaking Authority 517.03 FS. Law Implemented 517.081, 517.12 FS. History-New 12-5-79, Amended 9-20-82, Formerly 3E-300.02, Amended 6-28-93, 11-22-93, 12-24-95, 9-19-00, 10-30-03, Formerly 3E-300.002, Amended 5-15-07, 9-30-10, 9-22-14, Repealed 5-6-15.

Rulemaking Authority 517.03(1) FS. Law Implemented 517.081, 517.082, 517.12, 517.131, 517.315 FS. History-New 12-5-79, Formerly 3E-300.03, Amended 7-31-91, 10-1-96, 10-20-97, 10-30-03, Formerly 3E-300.003, Repealed 9-30-10.

Rulemaking Authority 517.03(1) FS. Law Implemented 517.081, 517.12 FS. History-New 9-20-82, Formerly 3E-301.01, 3E-301.001, Repealed 7-1-12.

Rulemaking Authority 517.03(1), 517.12, 517.1201, 517.081(2), 517.082(4) FS. Law Implemented 120.60(1), 517.051 ,517.075, 517.081, 517.082, 517.12, 517.1202, 517.161(5) FS. History-New 9-20-82, Formerly 3E-300.01, 3E-301.02, Amended 10-15-86, 2-1-87, 12-8-87, 7-29-90, 7-31-91, 6-…

Rulemaking Authority 517.03(1) FS. Law Implemented 120.57, 120.60, 517.081, 517.082, 517.12, 517.241(1) FS. History-New 9-20-82, Formerly 3E-301.03, Amended 7-31-91, 6-22-98, Formerly 3E-301.003, Amended 9-30-10, Repealed 7-1-12.

(1) An eligible person, or a receiver on behalf of an eligible person, seeking payment from the Securities Guaranty Fund shall file with the Office a written application by submitting Form OFR-SGFund, Application for Payment from the Securities Guaranty Fund (08/2025), electronic…

The requirement of Section 517.051(10), F.S., that no persons shall directly or indirectly offer or sell securities under this section except by an offering circular containing full and fair disclosure shall be deemed satisfied if the following information is contained in the off…

Rulemaking Authority 517.03 FS. Law Implemented 517.051(9), 517.12 FS. History-New 12-5-79, Amended 9-20-82, Formerly 3E-400.02, 3E-400.002, Amended 5-6-15, Repealed 12-29-15.

For purposes of the exemption of Section 517.051(1), F.S., any issuer or guarantor of securities which are or have been in default shall be deemed to have satisfied the requirement of full and fair disclosure, thereby entitling the securities issued or guaranteed by such person t…

(1) Securities registered with another jurisdiction may be sold in Florida pursuant to Section 517.061(10), F.S., provided all requirements of Section 517.061(10), F.S., and rules thereunder are complied with. (2) The following purchasers shall be excluded in computing the number…

Rulemaking Authority 517.03 FS. Law Implemented 517.061(11) FS. History-New 12-5-79, Amended 9-20-82, Formerly 3E-500.04, Amended 7-31-91, Formerly 3E-500.004, Amended 5-15-07, 10-29-12, Repealed 10-20-24.

(1) Transactions by an issuer which do not satisfy all of the conditions of this rule shall not raise any presumption that the exemption provided by Section 517.061(10), F.S., is not available for such transactions. Attempted compliance with this rule does not act as an election;…

Fees paid to attorneys and accountants and other professionals for professional services rendered in connection with the issuance of securities pursuant to Section 517.061(10), F.S., shall not be deemed to constitute compensation for purposes of Section 517.021(10)(b)7.d., F.S.; …

(1) For purposes of Section 517.061(10)(a)2., F.S., the requirement that there be no general solicitation or general advertising in connection with an offering exempted under Section 517.061(10), F.S., shall be deemed to relate only to offers made in Florida in reliance upon Sect…

(1) For purposes of Section 517.061(14), F.S., the offer or sale of securities in a transaction meeting the requirements of SEC Rule 144 (17 C.F.R. §230.144), which is incorporated by reference in Rule 69W-200.002, F.A.C., shall be deemed an unsolicited purchase or sale of securi…

The following publications are hereby approved as recognized securities manuals: Securities manuals published by Mergent, Inc. Rulemaking Authority 517.03(1) FS. Law Implemented 517.061(18)(d) FS. History-New 9-20-82, Formerly 3E-20.21, 3E-500.10, Amended 7-31-91, 5-10-00, Former…

Rulemaking Authority 517.03 FS. Law Implemented 517.061(11), 517.12(1) FS. History-New 9-20-82, Formerly 3E-500.11, Amended 7-31-91, Formerly 3E-500.011, Amended 5-6-15, 11-15-16, 3-21-24, Repealed 10-20-24.

(1) Transactions involving the offer and sale of certificates of interest or participation in pooled income funds operated, maintained and controlled by, and for the ultimate benefit of, charitable corporations as described in Section 517.051(10), F.S., are hereby exempted from t…

Transactions which involve the offer or sale of stock, bonds, or other instruments deemed to be securities as defined in Section 517.021(33), F.S., offered or sold by or on behalf of a non-profit organization consisting solely of property owners of a singular mobile home park, wh…

Rulemaking Authority 517.03(1), 517.061(18) FS. Law Implemented 517.061(19) FS. History-New 3-29-92, Formerly 3E-500.014, Repealed 10-20-24.

(1) Any offer or sale of securities of a foreign issuer made to a person, other than a U.S. person, in an offshore transaction that is exempt from registration pursuant to Regulation S (17 C.F.R. §§230.901 through 230.905), which is incorporated by reference in Rule 69W-200.002, …

Securities offered or sold in a transaction exempt under a rule or regulation issued by the Securities and Exchange Commission under section 4(a)(2) of the Securities Act of 1933 (15 U.S.C. §77d(a)(2)), which is incorporated by reference in Rule 69W-200.002, F.A.C., are hereby ex…

Rulemaking Authority 517.03(1), 517.061(19) FS. Law Implemented 517.061(19) FS. History-New 11-25-01, Formerly 3E-500.017, Amended 9-30-10, 9-22-14, Repealed 10-20-24.

(1) For the purposes of this rule, the term "single-share stock certificate retailer" means a person or business entity engaged in the business of framing or mounting single-share stock certificates for retail sale to purchasers as gifts, decorations, or novelty items. The term "…

Issuers conducting an offering pursuant to Section 517.061(11), F.S., shall file a notice of transaction within fifteen (15) days after the first sale is made in this state the Notice of Transaction Under Florida Accredited Investor Exemption (Form OFR-FAIE) electronically on the…

(1) An issuer intending to conduct an offering of securities under the Florida Invest Local Exemption, Section 517.0612, F.S., shall file at least five (5) business days before the offering commences the Notice of Transaction Under Florida Invest Local Exemption (Form OFR-FILE) e…

The following are designated as foreign securities exchanges or foreign securities markets for purposes of section 517.061(20)(a)2., F.S.: (1) The Eurobond market, as regulated by the International Securities Market Association. (2) The Alberta Stock Exchange. (3) The Amsterdam S…

(1) New Applications. (a) Applicants for initial registration of dealers who are members of the Financial Industry Regulatory Authority (FINRA) shall file the Uniform Application for Broker-Dealer Registration (Form BD) electronically through the Central Registration Depository o…

(1) General Procedure Regarding Law Enforcement Records. For purposes of this rule, an "applicant" is any Dealer, Intermediary, or Investment Adviser seeking registration in Florida. Any natural person who is required to submit fingerprints pursuant to Section 517.12(7), F.S., sh…

(1) New Applications. (a) Applicants for initial registration of dealers that are not members of the Financial Industry Regulatory Authority (FINRA) shall file the Uniform Application for Broker-Dealer Registration (Form BD) electronically on the Office of Financial Regulation's …

Rulemaking Authority 517.03(1), 517.12 FS. Law Implemented 517.12 FS. History-New 12-29-15, Amended 11-26-19, 1-18-21, 2-14-23, Repealed 3-21-24.

(1) New Notice-Filings. (a) The notice-filing for a Canadian dealer shall be filed electronically on the Office of Financial Regulation's website at https://real.flofr.com through the Regulatory Enforcement and Licensing System (REAL) System using the OFR Form CAN, Canadian Deale…