Fla. Admin. Code Ann. R. 69W-800.004 - Circulation of Preliminary Prospectus

A preliminary prospectus if designated as such may be used by dealers registered with the Office of Financial Regulation, provided that Form U-1, Uniform Application to Register Securities (04/17/23), which is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-16512 or from the Office at https://flofr.gov/sitePages/MaterialsDS.htm, has been filed with the Office of Financial Regulation and each purchaser of securities is provided not later than the time of the sale of securities with the offering circular contained in the definitive registration statement effective under the Securities Act of 1933 as referenced in Section 517.082, F.S.

Notes

Fla. Admin. Code Ann. R. 69W-800.004

Rulemaking Authority 517.03(1) FS. Law Implemented 517.082 FS.

New 10-15-86, Amended 12-8-87, 7-31-91, 10-1-96, 10-20-97, Formerly 3E-800.004, Amended 11-22-10, Amended by Florida Register Volume 45, Number 221, November 13, 2019 effective 11/25/2019, Amended by Florida Register Volume 50, Number 045, March 5, 2024 effective 3/21/2024.

New 10-15-86, Amended 12-8-87, 7-31-91, 10-1-96, 10-20-97, Formerly 3E-800.004, Amended 11-22-10, 11-25-19, 3-21-24.