69W-700.002. Filing of Prospectus  


Effective on Monday, November 25, 2019
  • 1(1) An applicant for registration of securities must file a related prospectus containing significant information about the issuer and the offering so that the Office of Financial Regulation may ascertain if the proposed offering meets the requirements of Chapter 517, F.S. Such prospectus must be in the hands of a prospective purchaser prior to the consummation of the sale of any securities thereof and every prospectus must carry the following information shown boldly on the outside cover: “THESE SECURITIES HAVE BEEN REGISTERED BY THE STATE OF FLORIDA, OFFICE OF FINANCIAL REGULATION, AS HAVING COMPLIED WITH CHAPTER 517, F.S. THE OFFICE OF FINANCIAL REGULATION HAS NOT PASSED UPON THE ACCURACY OR ADEQUACY OF THIS PROSPECTUS, AND SUCH REGISTRATION DOES NOT CONSTITUTE A RECOMMENDATION OF THE SECURITIES FOR INVESTMENT PURPOSES.”

    129(2) Any prospectus which depicts the United States Securities and Exchange Commission’s statement pursuant to a registration statement filed under the Securities Act of 1933, a letter of notification under Regulation A of the Securities Act of 1933 (16817 C.F.R. §§230.251 171through 230.263) or Form U-7, Small Corporate Offering Registration, (9/1999), will be considered to be in substantial compliance with the requirement of subsection (1), above. Regulation A is incorporated by reference in Rule 20469W-200.002, 205F.A.C., and Form U-7 is hereby incorporated by reference and is available at 218http://www.flrules.org/Gateway/reference.asp?No=Ref-11277220.

    221Rulemaking Authority 223517.03(1) FS. 225Law Implemented 227517.081(3) FS. 229History–New 9-20-82, Formerly 3E-20.01, 3E-700.02, Amended 10-26-97, Formerly 3E-700.002, Amended 11-22-10, 9-22-14, 11-25-19.