Category: Florida News

Florida Office of Financial Regulation: All Issuer Dealers, Canadian Dealers or Broker Dealers (non-FINRA) Must Use the Regulatory Enforcement and Licensing (REAL) System as of November 22, 2010

Mar 29, 2011

  The Florida Office of Financial Regulation has advised that, pursuant to Rule 69W-301.002, F.A.C., all Issuer Dealers, Canadian Dealers or Broker Dealers (non-FINRA [Financial Industry Regulatory Authority]) Must Use the Regulatory Enforcement and Licensing (REAL) System as of November …