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IMPORTANT INDUSTRY INFORMATION
 
Consumers
Consumer Resources File a Complaint  Useful Links
Verify A License Press Releases  
bullet Auction Rate Securities (ARS)
bullet SEC Warns Investors of Phony Web Site Targeting Madoff Fraud Victims
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Office Cautions Investors of Fraud during Financial Problems
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Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors
Beware of Auction Rate Securities Settlement “Phishing” Scam

FINRA posted the following Investor Alert on their website regarding false FINRA correspondence about ARS settlements. Please review the alert and be cautious when asked to provide personal information. http://www.finra.org/Investors/ProtectYourself/InvestorAlerts/FraudsAndScams/P120094
Resources
Certified Capital Companies Florida Rules 69W, FAC Regional Offices
Directions to Tallahassee Florida Statutes Registration Statistics

Download Licensing Records

 Hurricane Notices Securities Offerings Statistics
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What's New
Proposed Disciplinary Guidelines per 517.1611(1), F.S.
Other Proposed Rules
Disqualifying Periods for Associated Person Registrations

Investor Protection Bill

Notice: Canadian Broker Dealers

 Notice: State-Registered Investment Advisers
Change in Fingerprint Card Fee – New Rules

Senior Designation Rules - Effective 1/18/09

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Florida, Office of Financial Regulation

200 East Gaines Street · Tallahassee, FL 32399

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