Florida Department of Financial Services
The Florida Department of Financial Services (DFS) regulates Florida's insurance industry. The Office of Financial Regulation (OFR), a division within the DFS, oversees and regulates broker-dealers, investment advisers, issuers, associated persons, and others engaged in securities business in Florida. The DFS site contains press releases from the office, contact information for reaching the OFR, lists of registered broker-dealer and investment advisers, and a copy of Chapter 517, Florida Statutes.

Florida Legislature
This site contains a wealth of information about the Florida legislative process, including contact information for Florida legislators, committees and committee assignments, progress reports on pending legislation, and copies of Florida Statutes.

Governor’s Office
This site contains a large number of links to Florida’s numerous agencies and departments. The site includes email contacts for the Governor and Lieutenant Governor, press releases, legislative agendas, and more.

Florida Department of Agriculture
The Florida Department of Agriculture, Division of Consumer Services, oversees and enforces Florida’s Telephonic Non-Solicitation Law (Section 501.059, Florida Statutes). This site provides consumers and businesses with information about the program.

Florida Department of State, Division of Corporations
If you are seeking information about a Florida company, including information about its principals, visit this site and conduct a search of the Florida Department of State’s database.

Florida Administrative Weekly
If you think an agency is proposing to change its rules, visit this site to obtain a copy of the proposed rule, and information about participating in the rule-making process.

United States Securities and Exchange Commission
The SEC’s official site, including a searchable EDGAR database to retrieve 10K’s, 10Q’s, SEC rules and proposed rules, press releases, enforcement actions, speeches, and more.

Financial Industry Regulatory  Authority (FINRA)
This site conveniently places on line much of the information  that broker-dealer firms need or want regarding regulatory programs,  supervision, and assistance.

Securities Industry and Financial Market Association (SIFMA)
A comprehensive site containing details about SIFMA programs, member services, regulatory initiatives, and more.

The Securities Industry/Regulatory Council on Continuing Education:
The CE Council has developed this site. It contains comprehensive continuing education information as well as software applications to assist you with Firm Element compliance and training. Log on to:

• Use the Firm Element Organizer to help you conduct your firm’s Needs Analysis and to help develop Firm Element training plans.
  
  

• Order retired computer-based training scenarios from the Regulatory Element to use for Firm Element or compliance training.
  
  

• Search the Firm Element Organizer database to research an area of interest.
  
  

• Register for email alerts. Once registered, you’ll be notified whenever new SRO notices, publications, and rule and regulation updates of interest to you, are added to the Firm Element Organizer database.