3. Department of Banking and Finance
3e. DBF, DIVISION OF SECURITIES AND FINANCE (TFD TO CH 69W)

 3E-1.01.
 3E-1.02.
 3E-1.03.
 3E-1.04.
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 3E-6.16.
 3E-6.17.
 3E-6.18.
 3E-6.19.
 3E-6.20.
 3E-6.21.
 3E-6.031. Securities
 3E-7.001. Definitions
 3E-7.002. Certification As A Certified Capital Company
 3E-7.003. Capital Requirements For Certified Capital Companies
 3E-7.004. Annual Review
 3E-7.005. Requirements To Update Information
 3E-7.006. Renewal Of Certification
 3E-7.007. Books And Records Requirements
 3E-7.008. Forms, Instructions And Manuals
 3E-10.01.
 3E-10.02.
 3E-10.03.
 3E-10.04. Definitions
 3E-10.05.
 3E-10.06.
 3E-10.07.
 3E-10.08. Of Banking And Finance
 3E-20.01. Filing Of Prospectus
 3E-20.02. Content Of Prospectus
 3E-20.03. Circulation Of Preliminary Prospectus
 3E-20.04. Promoters Equity Investment Ratio
 3E-20.05. Voting Rights
 3E-20.06. Options Or Warrants Granted Underwriters
 3E-20.07. Options And Warrants To Officers, Employees And Others
 3E-20.08. Escrow Of Proceeds From Sale Of Securities
 3E-20.09. Preferred Stock Or Debt Securities
 3E-20.10. Fractional Undivided Interest In Oil Or Gas Titles
 3E-20.11. Oil And Gas Participation Plans
 3E-20.011. Registration Of Securities
 3E-20.12. Insurance Company Licenses
 3E-20.13. (Reit)
 3E-20.14. Submission Of Group Insurance Plans
 3E-20.15. Administrative Interpretation Of Just And Equitable
 3E-20.16. Signing Required - Consents And Consents Of Experts
 3E-20.17. Investment Companies
 3E-20.18. Submission Of Sales Reports
 3E-20.19. Termination Date Of Registration Prospectuses Not To Be Used After Certain Date
 3E-20.20. Independent Transfer Agent And/Or Registrar
 3E-20.21. Recognized Manuals Of Securities
 3E-20.22. Subscriptions To New Banks, Trust Companies, And Stock Savings And Loan Associations
 3E-20.23. Securities Registration/Notification Forms
 3E-30.01.
 3E-30.02. Of Banking And Finance
 3E-30.03. Of Banking And Finance
 3E-30.04. Financial Responsibility
 3E-30.05. Registration Of Issuer/Dealer, Executive Officer Or Branch Office
 3E-30.06. Executive Officers - Written Examinations
 3E-30.07.
 3E-30.08. Executive Officers - Written Examinations - Dual Registration
 3E-30.09. Executive Officers - Permits And Certificates To Be Displayed - Dual Registration
 3E-30.10. Executive Officers - Prima Facie Evidence Of Unworthiness
 3E-30.11.
 3E-30.12.
 3E-30.13. Executive Officers - Notice Of Civil, Criminal Or Administrative Action
 3E-30.14.
 3E-30.15.
 3E-30.16.
 3E-30.17. Suitability Of Recommendations
 3E-40.01. Changing Or Influencing Control Of Offeree Company
 3E-100.01.
 3E-100.001. Authority
 3E-100.002. Severability
 3E-100.02.
 3E-100.03.
 3E-100.003. Declaratory Statements
 3E-100.004. Opinions
 3E-100.04. Opinions
 3E-100.05. Advise Concerning Exemptions
 3E-100.06.
 3E-100.07. Advertising And Sales Literature
 3E-100.08.
 3E-100.008. Offer Of Securities Prior To Registration
 3E-100.009. Index To Forms Prescribed By The Department
 3E-100.09. Index To Forms Prescribed By The Department
 3E-100.010. Internet Or Other Electronic System Information
 3E-200.001. Definitions
 3E-200.01. Definitions
 3E-200.02. S
 3E-200.03. S
 3E-300.01. Processing Of Applications
 3E-300.02. Financial Statements And Reports
 3E-300.002. Financial Statements And Reports
 3E-300.003. Refunds Of Fees, Files Denied Or Withdrawn
 3E-300.03.
 3E-301.01. Scope
 3E-301.02. Processing Of Applications
 3E-301.002. Processing Of Applications
 3E-301.003. Right To Hearing
 3E-301.03. Right To Hearing
 3E-301.04. Final Orders
 3E-301.004. Final Orders
 3E-301.05. Waivers
 3E-400.001. 051(9), Florida Statutes
 3E-400.01. S
 3E-400.02. S
 3E-400.003. 051(1), Florida Statutes
 3E-400.004. 051(11), Florida Statutes
 3E-500.01. Offers And Sales
 3E-500.001. 061, Florida Statutes; Offers And Sales
 3E-500.02. S
 3E-500.03. S
 3E-500.04. S
 3E-500.004. 061(11), Florida Statutes
 3E-500.005. 061(11)(A)3, Florida Statutues
 3E-500.05. S
 3E-500.06. S
 3E-500.006. 061(11), Florida Statutues
 3E-500.007. 061(11), Florida Statutues
 3E-500.07. S
 3E-500.08. S
 3E-500.008. 061(13), Florida Statutes
 3E-500.009. 061(19), Florida Statutues
 3E-500.09. S
 3E-500.10. Recognized Manuals Of Securities
 3E-500.010. Recognized Manuals Of Securities
 3E-500.011. 061(11), Florida Statutes, As Dealer
 3E-500.11. , As Dealer
 3E-500.12. Exemption/ Charitable Contributions To Pooled Income Funds
 3E-500.013. Exemption/Mobile Home Parks/Limited Purpose Stock Offering
 3E-500.014. Court Approved Transactions
 3E-500.015. Persons In Offshore Transactions
 3E-500.016. Exemption For Issuers Of Section 4(2) Offerings
 3E-500.017. Compensatory Benefit Plan Exemption
 3E-600.001. Application For Registration As A Dealer, Issuer/Dealer, Or Investment Adviser
 3E-600.01. Application For Registration As Dealer, Issuer/Dealer Or Investment Advisor
 3E-600.02. Application For Registration As Dealer Issuer/Dealer, Or Investment Advisor
 3E-600.002. Application For Registration As Associated Person
 3E-600.003. Multiple Registration
 3E-600.03. Multiple Registration
 3E-600.04. Registration Of Issuer/Dealers Principles And Branch Offices
 3E-600.004. Registration Of Issuer/Dealers, Principals And Branch Offices
 3E-600.005. Examinations/Qualifications
 3E-600.05. Examinations/Qualifications
 3E-600.06. Associated Persons&Apos; Fingerprints
 3E-600.006. Associated Persons&Apos; Fingerprints
 3E-600.007. Changes In Name And Successor Registration Requirements
 3E-600.07. Changes In Names And Successor Registration
 3E-600.08. Termination Of Registration As Dealer, Investment Advisor, Branch Office Or Agent
 3E-600.008. Termination Of Registration As Dealer, Investment Adviser, Branch Office, Principal Or Agent
 3E-600.009. Registration Renewals
 3E-600.09. Registration Renewals
 3E-600.10. Notice Of Civil, Criminal Or Administrative Action
 3E-600.010. Notice Of Civil, Criminal Or Administrative Action
 3E-600.011. Prima Facie Evidence Of Unworthiness
 3E-600.11.
 3E-600.12. Rules Of Conduct
 3E-600.012. Rules Of Conduct
 3E-600.013. Prohibited Business Practices For Dealers And Their Associated Persons
 3E-600.13. Prohibited Business Practices
 3E-600.14. Books &Amp; Records Requirements
 3E-600.014. Books And Records Requirements
 3E-600.015. Financial Reporting Requirements - Statement Of Financial Condition - Dealers And Investment Advisers
 3E-600.15. Financial Reporting Requirements--Statement Of Financial Condition --Dealers And Investment Advisors
 3E-600.16. Net Capital Requirements For Dealers &Amp; Investment Advisors
 3E-600.016. Net Capital Requirements For Dealers And Investment Advisers
 3E-600.017. Customer Protection Rule - Reserve Requirements And Custody Of Customer Funds And Securities
 3E-600.17.
 3E-600.18.
 3E-600.018. Licenses To Be Displayed
 3E-600.019. Dealer, Investment Adviser, Branch Office And Associated Persons Forms
 3E-600.19. Dealer, Investment Advisor, Branch Office &Amp; Associated Persons -- Forms
 3E-600.020. Continuing Education Requirements
 3E-600.021. Investment Adviser Notification
 3E-600.0021. Investment Adviser Notification
 3E-600.0031. Multiple Registration Disclosure
 3E-600.091. Central Registration Depository System
 3E-600.0091. Central Registration Depository System
 3E-600.0092. Investment Adviser Registration Depository For Federal Covered Advisers
 3E-600.0093. Investment Adviser Registration Depository For Investment Advisers
 3E-600.0131. Prohibited Business Practices For Investment Advisers And Their Associated Persons
 3E-600.0132. Sales Of Certificates Of Deposit
 3E-700.01. Registration Of Securities
 3E-700.001. Registration Of Securities
 3E-700.002. Filing Of Prospectus
 3E-700.02. Filing Of Prospectus
 3E-700.03. Content Of Prospectus
 3E-700.04. Circulation Of Preliminary Prospectus
 3E-700.004. Circulation Of Preliminary Prospectuses
 3E-700.005. Promoters Equity Investment Ratio
 3E-700.05. Promoters Equity Investment Ratio
 3E-700.06. Voting Rights
 3E-700.006. Voting Rights
 3E-700.07. Options Or Warrants Granted Underwriters
 3E-700.08. Options Or Warrants To Officers, Employees And Others
 3E-700.09. Escrow Of Proceeds From Sale Of Securities
 3E-700.10. Preferred Stock Or Debt Securities
 3E-700.11. Fractional Undivided Interest In Oil And Gas Titles
 3E-700.011. Fractional Undivided Interest In Oil And Gas Titles
 3E-700.12. Oil And Gas Participation Plans
 3E-700.13. Insurance Company Licenses
 3E-700.14. Real Estate Investment Trusts (Reit)
 3E-700.15. Offering Priceof Equity Securities
 3E-700.015. Offering Price Of Equity Securities
 3E-700.016. Bank Holding Company Applications
 3E-700.16. Bank Holding Company Applications
 3E-700.17. Savings &Amp; Loan Conversions
 3E-700.017. Savings And Loan Conversions
 3E-700.18. Signing Required - Consents And Consents Of Experts
 3E-700.19. Submission Of Sales Reports
 3E-700.019. Submission Of Sales Reports
 3E-700.20. Termination Date Of Registration
 3E-700.21. Independent Transfer Agent And/Or Registrar
 3E-700.22. Amendment Of Application
 3E-700.23. Securities Registration Forms
 3E-700.023. Securities Registration Forms
 3E-700.24. Submission Of Final Documents
 3E-700.025. Investment Company Securities
 3E-700.026. Unsound Financial Condition
 3E-700.027. Loans And Other Affiliated Transactions
 3E-700.028. Small Corporate Offering Registration ($1 Million Maximum Offering)
 3E-800.001. Filing - Notification Registration Including Shelf Filings
 3E-800.002. Shelf Registration
 3E-800.003. Effective Registration
 3E-800.004. Circulation Of Preliminary Prospectus
 3E-800.005. 082
 3E-900.001. Disclosure Of Business Activities In Cuba