BD- Florida Regulatory Enforcement and Licensing (REAL) System Instructions

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