2001 Florida Code
TITLE XXXIII Regulation Of Trade, Commerce, Investments, And Solicitations
Chapter 517 Securities Transactions
517.121 Books and records requirements; examinations.
517.121 Books and records requirements; examinations.--
(1) A dealer, investment adviser, branch office, or associated person shall maintain such books and records as the department may prescribe by rule.
(2) The department shall, at intermittent periods, examine the affairs and books and records of each registered dealer, investment adviser, branch office, or associated person, or require such records and reports to be submitted to it as it may require by rule, to determine compliance with this act.
History.--ss. 10, 15, ch. 85-165; ss. 7, 14, 15, ch. 90-362; s. 4, ch. 91-429.
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