Welcome

The Division of Securities protects the investing public from unlawful securities activities through regulating the sale of securities in, to or from Florida. Regulated entities include firms (securities dealers, issuers and investment advisers), branch offices and individuals affiliated with these firms.

The Division participates in two national databases of dealers, investment advisers and their employees called the Central Registration Depository (CRD) and Investment Adviser Registration Depository (IARD). These databases allow OFR to track registrants and applicants and share information with other states, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The public can search much of this information through the Broker Check system or the Investment Adviser Public Disclosure system.

Bureaus

Bureau of Regulatory Review: Processes and evaluates applications for firms and individuals seeking registration to conduct business in Florida as a dealer, investment advisers, branch office or associated persons. In addition, the Bureau reviews applications for securities offerings'.

Bureau of Securities Regulation: Conducts examinations of registered securities dealers, investment advisers, branch offices and associated persons to determine compliance with the Securities and Investor Protection Act.