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

Welcome to the Division of Securities

What We Do

The Division of Securities regulates the sale of securities in, to or from Florida by firms (securities dealers, issuer dealers and investment advisers), branch offices and individuals affiliated with these firms to determine compliance with Florida law.

Canadian Dealers:
Dealer-FINRA Member:
Dealer-Non FINRA Member:
Investment Advisers:
Issuer Dealers:
Securities Offerings:

Bureau of Registration: processes and evaluates applications for firms and individuals seeking registration to conduct business in Florida.

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

Disciplinary Guidelines per Chapter 517.1611(1), Florida Statutes.

Frequently asked questions for the Division of Securities.

Who We Are

Meet the Division of Securities Management Team.

Statutes and Rules We Regulate

Materials Incorporated by Reference to Division of Securities Rules