Section 69W-500.011 - Registration of Issuer Under Section 517.061(11), F.S., as DealerAn issuer of securities who elects to offer or sell its own securities pursuant to Section 517.061(11), F.S., may register as a dealer pursuant to Section 517.12(1), F.S. The issuer shall comply with the rules of the Financial Services Commission for registration as a dealer as set forth under Rule 69W-600.001, F.A.C., in addition to the following requirements:
(1) The financial statements required for registration as a dealer must be prepared in accordance with the provisions of subsection 69W-600.0151(4), F.A.C.(2) Since the securities will not be registered, a copy of the offering circular for each offering must be submitted although no determination will be made as to the merits of the securities.(3) The outside front page of the offering circular shall bear the following in bold face type: "THE SECURITIES BEING OFFERED HAVE NOT BEEN REGISTERED WITH THE OFFICE OF FINANCIAL REGULATION. THE FIRM IS REGISTERED AS A DEALER TO SELL ITS OWN SECURITIES."Fla. Admin. Code Ann. R. 69W-500.011
Rulemaking Authority 517.03 FS. Law Implemented 517.061(11), 517.12(1) FS.
New 9-20-82, Formerly 3E-500.11, Amended 7-31-91, Formerly 3E-500.011, Amended by Florida Register Volume 41, Number 077, April 21, 2015 effective 5/6/2015, Amended by Florida Register Volume 42, Number 213, November 1, 2016 effective 11/15/2016, Amended by Florida Register Volume 50, Number 045, March 5, 2024 effective 3/21/2024.New 9-20-82, Formerly 3E-500.11, Amended 7-31-91, Formerly 3E-500.011, Amended 5-6-15, 11-15-16, 3-21-24.