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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.
SECURITIES. Administers and enforces compliance with the Florida Securities and Investor Protection Act. Learn More. FINANCIAL INVESTIGATIONS. The criminal justice section of the agency which maintains investigative teams to fight fraud. Learn More.
Stockbrokers that work with residents of Florida are required to be registered with the Florida Office of Financial Regulation, Division of Securities, as well as the Securities and Exchange Commission (SEC) and at least one self regulatory organization (SRO).
One significant regulation in Florida concerning securities licenses is the Florida Administrative Code Rule 69W-600. This rule stipulates the licensing and qualification requirements for broker-dealers, investment advisers, and associated persons.
Rasmussen University. Featured Program: Bachelor's Degree in Finance. Request Info. Investment adviser firms, owners, principals, and associated persons who conduct business in Florida must do so in accordance with the Florida Securities and Investor Protection Act. Step 1. Get Your Education. Get a degree.
12 kwi 2024 · Step 1: Get to Know FINRA and NASAA—If You Haven’t Already. Financial Industry Regulatory Authority (FINRA) is the organization in charge of securities licensing and requirements, and it also administers most of the exams you’ll need to pass to get your license.
2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
