• Skip to primary navigation
  • Skip to main content
  • Skip to primary sidebar
  • Skip to footer
  • About
  • Advertise
  • Submit News
  • Contact Us

Capital Soup

Florida News Straight From the Source

  • Soup Du Jour
  • People
  • Government
  • Campaign
  • Business
  • Education
  • Insights
  • Video
You are here: Home / Government / Industry Alert: Securities Businesses Registration Renewal

Industry Alert: Securities Businesses Registration Renewal

Posted on January 28, 2019

The Florida Office of Financial Regulation reminds securities businesses registered under Chapter 517, Florida Statutes, that the deadline to timely renew has passed. However, the option is still available for securities dealers and investment adviser firms to renew their registration with a reinstatement fee through January 31, 2019.

Canadian Broker/Dealers, Issuer/Dealers and Crowdfunding Intermediaries may login to OFR’s Regulatory Enforcement and Licensing (REAL) System, select “make payments” and follow the prompts to complete the renewal process. Payments must be received by January 31, 2019.

Financial Industry Regulatory Authority (FINRA) Broker/Dealers, federal covered Investment Advisers and state registered Investment Advisers may contact the Florida Office of Financial Regulation at (850) 410-9822, to obtain an invoice to be submitted with a check or money order. Payments must be received by January 31, 2019. Please note that any payment made through the Central Registration Depository (CRD)/Investment Adviser Registration Depository (IARD) System is processed as a new application, not a renewal.

Share this article! Share on FacebookShare on Twitter

Filed Under: Government Tagged With: Florida Office of Financial Regulation

Primary Sidebar

    Submit News    

Miya’s Law, a Bill Enhancing Renter Protections, Signed into Law

“Miya’s Law,” SB 898, sponsored by Senator Linda Stewart (D – Orlando) and Representative Robin Bartleman (D – … [Read More...] about Miya’s Law, a Bill Enhancing Renter Protections, Signed into Law

House Democrats Respond to SCOTUS Overturning Roe v. Wade

Six Justices of the United States Supreme Court overturned decades of precedent today with their decision to … [Read More...] about House Democrats Respond to SCOTUS Overturning Roe v. Wade

The Florida Department of Economic Opportunity Announces $30 Million Available to Florida Rural Communities for Economic Development

The Florida Department of Economic Opportunity (DEO) today announced $30 million in available funds for … [Read More...] about The Florida Department of Economic Opportunity Announces $30 Million Available to Florida Rural Communities for Economic Development

Keep in Touch

  • Email
  • Facebook
  • Twitter

Newsletter signup

Stay in the loop! Subscribe to our weekly newsletter to receive a brief recap of the week's most popular stories.

Footer

News

  • Soup Du Jour
  • People
  • Government
  • Campaign
  • Business
  • Education
  • Insights
  • Video

About Us 

  • About
  • Advertise
  • Submit News
  • Contact Us

Keep in Touch

  • Email
  • Facebook
  • Twitter

Copyright © 2021
Terms & Conditions

© Copyright 2022 Capital Soup · All Rights Reserved ·