The Florida Division of Securities utilizes the Regulatory Enforcement and Licensing system (REAL) for the registration of Issuer Dealers. This online system enables issuer dealers to submit their application form and fees electronically. Additional filing requirements shall submitted as prescribed in Chapter 517.12(10), F.S., and Rule 69W-600.001, F.A.C.
All paper submissions for applications received by mail will be returned along with instructions to file electronically. Required fingerprint cards for persons on Schedule A and B must be mailed directly to the OFR at the address identified in the Contact Information section.
To apply, renew or manage your registration, click here.
For step-by-step instructions, click here.
Amendments and Maintaining Registration
Successor Registration Requirements
Current Uniform Registration Forms
Tel: (850) 410-9893
Fax: (850) 410-9748
850-Its-Your-Money (850-487-9687), Option 2
Division Key Personnel
Chapter 517: Securities and Investor Protection Act
The links below do not represent the entire body of regulations governing compliance with Florida law; they are merely to assist applicants and registrants with filing requirements. Refer to Chapter 517, F.S., or contact the Office for more information.
69W-301.002, Processing of Applications
69W-600.001, Application for Registration as a Dealer, Issuer/Dealer, or Investment Adviser
69W-600.0011, Effect of Law Enforcement Records on Applications for Registration as Dealer, Issuer/Dealer, or Investment Adviser
69W-600.004, Registration of Issuer/Dealers, Principals and Branch Offices
69W-600.006, Fingerprint Requirements
69W-600.010, Notice of Civil Criminal or Administrative Action
69W-600.015, Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers
69W-600.016, Net Capital Requirements for Dealers and Investment Advisers