Florida Office of Financial Regulation Florida OFR Home Page
Division of Consumer Finance

Notification Registration

Securities offered or sold pursuant to a registration statement filed under the Securities Act of 1933 with the U.S. Securities and Exchange Commission are entitled to registration by notification pursuant to the requirements of Section 517.082, Florida Statutes (F.S.)

It is unlawful and a violation of Chapter 517.07, F.S., for any person to sell or offer to sell a security within this state, unless the security is: exempt under Section 517.051, F.S.; sold in a transaction exempt under Section 517.061, F.S.; a federal covered security; or registered pursuant to this chapter. Any person who claims entitlement to any of the exclusions bears the burden of proving such entitlement.

Notice Filing Requirements

The Florida Division of Securities utilizes the Regulatory Enforcement and Licensing (REAL) System for the registration of securities offerings. This online system enables filers to submit their application form and fees electronically. Additional filing requirements shall be submitted as prescribed in Chapter 517.082, F.S., and Rules 69W-800, Florida Administrative Code. (F.A.C.)

Paper applications received by the OFR will be returned to the applicant with instructions for filing electronically.

To apply for registration through online services, click here.

Maintaining or Renewing Registration

Registrations by “Notification” expire one (1) year from the date granted.

Forms

Form U-1, Uniform Application to Register Securities (Effective 10/97)
Form U-2, Uniform Consent to Service of Process (Effective 10/1/96)
Form U-2A, Uniform Corporate Resolution (Effective 10/1/96)
CUBA Disclosure of Business Activities in Cuba Form
OFR-S-3-91 Notification Registration
OFR-S-5-91 Uniform Consent to Service of Process
OFR-S-6-91 Corporate Resolution

Statutes and Rules

Applicants for securities registration by “Notification” are subject to the requirements found in Chapter 517, F.S., the Securities and Investor Protection Act, and the administrative rules, Sections 69W-100 through 69W-1000, F.A.C.