|
Application and Notice Requirements |
| |
SEE CHAP.
517.082, F. S.
|
SEE CHAP.
517.081, F. S.
|
| REGISTRATION
TYPE |
NOTIFICATION REGISTRATION
SEC Effective
|
NOTIFICATION REGISTRATION
Not SEC Effective
|
QUALIFICATION REGISTRATION
|
SCOR
|
| LICENSE
TYPE (PROPOSED) |
NR
|
NR
|
QR
|
SC
|
| FEE
Check Payable to: Department of Financial Services |
$1,000
|
$1,000
|
$1,000
|
$1,000
|
| APPLICATION
FORM |
OFR-S-3-91 or U-1
|
OFR-S-3-91
or U-1 |
OFR-S-1-91
revised 10/97 |
OFR-S-12-97 |
| CONSENT
TO SERVICE OF PROCESS (Upon initial application) |
OFR-S-5-91
or U-2
|
OFR-S-5-91
or U-2 |
OFR-S-5-91
or U-2 |
OFR-S-5-91
or U-2 |
| CORPORATE
RESOLUTION (Upon initial application) |
OFR-S-6-91
or U-2A |
OFR-S-6-91
or
U-2A |
OFR-S-6-91
or
U-2A |
OFR-S-6-91
or U-2A |
| PROSPECTUS/OFFERING
DOCUMENT |
Final Prospectus |
Final Prospectus/
Pricing amendment |
Preliminary
Prospectus (3 copies) |
U-7 (3 copies) |
| REGISTRATION
STATEMENT |
N/A |
Initial statement
filed with SEC required |
N/A |
N/A |
| SEC EFFECTIVENESS
NOTICE |
N/A |
Must send notice
in writing within 10 days. |
N/A |
N/A |
| OTHER
EXHIBITS |
Upon Request |
Upon Request |
OFR-S-7-91
Others Upon Request |
Exhibits required
by Part II of application and others upon request. |
AUDITED
FINANCIALS
(In accordance with GAAP) |
N/A |
N/A |
Most recent
FY audited |
Most recent
FY audited |
|
UNAUDITED FINANCIALS
(In accordance with GAAP)
|
N/A |
N/A |
If most recent
FY audited is not within 90 days of date application is filed. Must
be under notarized oath of officer. |
If most recent
FY audited is not within 90 days of date application is filed. Must
be under notarized oath of officer. |
| DEALER REQUIRED
PURSUANT TO CHAP. 517.12, F. S. |
Y |
Y |
Y |
Y |
| PERMIT PERIOD |
1 YEAR
|
1 YEAR
|
1 YEAR
|
1 YEAR
|
| APPLICABLE
FLORIDA ADMINISTRATIVE CODE RULES |
69W-100, General Rules
69W-200, Definitions
69W-301, Procedural Rules for Processing
69W-800, Notification Registration of Securities |
69W-100, General Rules
69W-200, Definitions
69W-300, Applications
69W-301, Procedural Rules for Processing
69W-700, Registration of Securities |
