Industry Alert: Securities Businesses Registration Renewal

Tallahassee, Fla. – The Florida Office of Financial Regulation reminds securities businesses registered under Chapter 517, Florida Statutes, that the deadline to timely renew has passed. However, the option is still available for securities dealers and investment adviser firms to renew their registration with a reinstatement fee through January 31, 2019.

Canadian Broker/Dealers, Issuer/Dealers and Crowdfunding Intermediaries may login to OFR’s Regulatory Enforcement and Licensing (REAL) System, select “make payments” and follow the prompts to complete the renewal process. Payments must be received by January 31, 2019.

Financial Industry Regulatory Authority (FINRA) Broker/Dealers, federal covered Investment Advisers and state registered Investment Advisers may contact the Florida Office of Financial Regulation at (850) 410-9822, to obtain an invoice to be submitted with a check or money order. Payments must be received by January 31, 2019. Please note that any payment made through the Central Registration Depository (CRD)/Investment Adviser Registration Depository (IARD) System is processed as a new application, not a renewal.