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Florida Administrative Code (Last Updated: April 18, 2024) |
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69. Department of Financial Services |
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69W. Securities |
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69W-900. Disclosure Of Business Activities In Cuba |
69W-900.001. Disclosure of Business Activities in Cuba
1(1) For purposes of Section 6517.075, F.S., 8a prospectus shall be defined as:
14(a) A final prospectus containing the information required by Section 10(a) of the Securities Act of 1933 31(3215 U.S.C. §77j(a)35), which is incorporated by reference in Rule 4369W-200.002, 44F.A.C. 45for securities registered pursuant to Section 51517.082, F.S.; 53or
54(b) A final prospectus in the form prescribed by Rule 6469W-700.003, 65F.A.C., for securities registered pursuant to section 72517.081, F.S.
74(c) The term prospectus shall not include amendments or supplements to a prospectus that is part of a registration statement filed with the Securities and Exchange Commission under Rule 415 of the Securities Act of 1933 (11117 C.F.R. §230.415114), 115which is incorporated by reference in Rule 12269W-200.002, 123F.A.C124.
125(2) The disclosure and notice requirements of Section 133517.075, F.S., 135apply only to issuers filing initial or renewal applications for securities registration pursuant to Section 150517.081 151or 152517.082, F.S., 154on or subsequent to April 10, 1992, 161who:
162(a) Conduct business or have affiliates who conduct business in or with Cuba;
175(b) Commence doing business in or with Cuba after the issuer’s securities become effective with the Office of Financial Regulation; or
196(c) Are required by Florida Law to report a material change in information previously reported regarding business conducted in or with Cuba.
218(3) The Office of Financial Regulation’s CUBA FORM, Disclosure of Business Activities in Cuba Form, Effecitve 11/22/10, is hereby incorporated by reference and available at 243http://www.flrules.org/Gateway/reference.asp?No=Ref-11272, 245shall be used to notify the Office of Financial Regulation of any business or change in business as required by subsection (3) of Section 269517.075, F.S.
271(a) When required by Section 276517.075, F.S., 278such form shall be filed with the Office of Financial Regulation.
289(b) The obligation to provide updated information required by Section 299517.075(3), F.S., 301shall terminate when the distribution of the securities has been completed.
312Rulemaking Authority 314517.075 FS. 316Law Implemented 318517.075 FS. 320History–New 8-17-92, Formerly 3E-900.001, Amended 11-22-10, 9-22-14, 11-25-19.
