Feb 27, 2024 · The Miami Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment companies, and broker-dealers.

The Division of Securities administers and enforces compliance with the Florida Securities and Investor Protection Act, designed to protect the investing public and promote economic growth. The division regulates the sale of securities in, to or …

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Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and facilitates capital formation for those looking to hire, innovate, and grow.

The Office of Financial Regulation is a state-government agency created by the Governor and Cabinet to provide regulatory oversight for Florida’s financial services industry. OFR is committed to promoting a safe marketplace for financial success.

Investment advisers may be primarily regulated by the U.S. Securities and Exchange Commission (SEC) or by one or more state securities authorities. Each state has one securities regulatory authority, but some investment advisers may be regulated by more than one state.

May 13, 2022 · The U.S. Securities and Exchange Commission on Friday sued a Florida firm it said raised at least $410 million by fraudulently promising investors access to private companies that had...

Eric I. Bustillo currently serves as Director of the Miami Regional Office (“MIRO”) of the U.S. Securities and Exchange Commission (“SEC”).

(3) The offer or sale of securities under this section must be conducted in accordance with the requirements of the federal exemption for intrastate offerings in s. 3(a)(11) of the Securities Act of 1933, 15 U.S.C. s. 77c(a)(11), and United States Securities and Exchange Commission Rule 147, 17 C.F.R. s. 230.147, adopted pursuant to the ...

a. Has any class of securities which is registered, or which is required to be registered, with the United States Securities and Exchange Commission under the Securities Exchange Act of 1934, 15 U.S.C. ss. 78a et seq., or with the office under s.