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.
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 Office of Financial Regulation will be returned to the applicant with instructions for filing electronically.
Form U-1 - Uniform Application to Register Securities
Form U-2 - Uniform Consent to Service of Process
Form U-2A - Uniform Corporate Resolution
OFR-S-3-91 Notification Registration
OFR-S-5-91 Uniform Consent to Service of Process
OFR-S-6-91 Corporate Resolution
CUBA Disclosure of Business Activities in Cuba Form