Florida Regulations 69W-900.001: Disclosure of Business Activities in Cuba
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(1) For purposes of Florida Statutes § 517.075, a prospectus shall be defined as:
(a) A final prospectus containing the information required by Section 10(a) of the Securities Act of 1933 (15 U.S.C. § 77j(a)), which is incorporated by reference in Fl. Admin. Code R. 69W-200.002 for securities registered pursuant to Florida Statutes § 517.082; or
(b) A final prospectus in the form prescribed by Fl. Admin. Code R. 69W-700.003, for securities registered pursuant to Florida Statutes § 517.081
(c) The term prospectus shall not include amendments or supplements to a prospectus that is part of a registration statement filed with the Securities and Exchange Commission under Rule 415 of the Securities Act of 1933 (17 C.F.R. § 230.415), which is incorporated by reference in Fl. Admin. Code R. 69W-200.002
(2) The disclosure and notice requirements of Florida Statutes § 517.075, apply only to issuers filing initial or renewal applications for securities registration pursuant to Section 517.081 or 517.082, F.S., on or subsequent to April 10, 1992, who:
(a) Conduct business or have affiliates who conduct business in or with Cuba;
(b) Commence doing business in or with Cuba after the issuer’s securities become effective with the Office of Financial Regulation; or
(c) Are required by Florida Law to report a material change in information previously reported regarding business conducted in or with Cuba.
(3) The Office of Financial Regulation’s CUBA FORM, Disclosure of Business Activities in Cuba Form, Effecitve 11/22/10, is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-11272, shall be used to notify the Office of Financial Regulation of any business or change in business as required by subsection (3) of Florida Statutes § 517.075
(a) When required by Florida Statutes § 517.075, such form shall be filed with the Office of Financial Regulation.
(b) The obligation to provide updated information required by Florida Statutes § 517.075(3), shall terminate when the distribution of the securities has been completed.
Rulemaking Authority 517.075 FS. Law Implemented Florida Statutes § 517.075. History-New 8-17-92, Formerly 3E-900.001, Amended 11-22-10, 9-22-14, 11-25-19.
Terms Used In Florida Regulations 69W-900.001
- Obligation: An order placed, contract awarded, service received, or similar transaction during a given period that will require payments during the same or a future period.
(b) A final prospectus in the form prescribed by Fl. Admin. Code R. 69W-700.003, for securities registered pursuant to Florida Statutes § 517.081
(c) The term prospectus shall not include amendments or supplements to a prospectus that is part of a registration statement filed with the Securities and Exchange Commission under Rule 415 of the Securities Act of 1933 (17 C.F.R. § 230.415), which is incorporated by reference in Fl. Admin. Code R. 69W-200.002
(2) The disclosure and notice requirements of Florida Statutes § 517.075, apply only to issuers filing initial or renewal applications for securities registration pursuant to Section 517.081 or 517.082, F.S., on or subsequent to April 10, 1992, who:
(a) Conduct business or have affiliates who conduct business in or with Cuba;
(b) Commence doing business in or with Cuba after the issuer’s securities become effective with the Office of Financial Regulation; or
(c) Are required by Florida Law to report a material change in information previously reported regarding business conducted in or with Cuba.
(3) The Office of Financial Regulation’s CUBA FORM, Disclosure of Business Activities in Cuba Form, Effecitve 11/22/10, is hereby incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-11272, shall be used to notify the Office of Financial Regulation of any business or change in business as required by subsection (3) of Florida Statutes § 517.075
(a) When required by Florida Statutes § 517.075, such form shall be filed with the Office of Financial Regulation.
(b) The obligation to provide updated information required by Florida Statutes § 517.075(3), shall terminate when the distribution of the securities has been completed.
Rulemaking Authority 517.075 FS. Law Implemented Florida Statutes § 517.075. History-New 8-17-92, Formerly 3E-900.001, Amended 11-22-10, 9-22-14, 11-25-19.