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Florida Administrative Code (Last Updated: November 11, 2024) |
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69. Department of Financial Services |
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69W. Securities |
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69W-700. Registration Of Securities |
1(1) Every issuer of a security required to be registered pursuant to Section 14517.081, F.S., 16having in excess of one hundred (100) shareholders of record after distribution of its securities shall be required to appoint and maintain an independent transfer agent and/or registrar for its securities. Said transfer agent shall be duly registered with the Federal Deposit Insurance Corporation, the Comptroller of the Currency, the Board of Governors of the Federal Reserve System or the Securities and Exchange Commission.
80(2) Each agency agreement shall provide that the following records will be maintained or preserved for a period of not less than six (6) years:
105(a) Blotters or other records of original entry containing itemized daily record of all receipts and deliveries of the issuer’s securities.
126(b) Ledger reflecting the individual transfer records for the issuer’s separate securities.
138(c) A separate ledger record of restricted securities and restrictive legend thereon.
150Specific Authority 152517.03 FS. 154Law Implemented 156517.03(1) FS. 158History–(Formerly 3E-20.20) New 9-20-82, Formerly 3E-700.21, 3E-700.021.
