BD- Florida Regulatory Enforcement and Licensing (REAL) System Instructions
BD- Florida Regulatory Enforcement and Licensing (REAL) System Instructions
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The FL Regulatory Enforcement and Licensing (REAL) System Instructions highlight the steps necessary for non-FINRA registered broker-dealers, Canadian dealers, crowdfunding intermediaries and issuers, issuer/dealer, corresponding branch offices and associated persons and securities offering under Florida Statutes, Chapter 517 to register for the REAL system as mandated for use pursuant to Florida Administrative Code, Rule 69W-301.002.
Version/Update: V.U/04/2020
Total Page Count/Format: 3/.pdf
Source/Author(s): Florida Office of Financial Regulation