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The Department of Business and Professional Regulation (DBPR) is the agency charged with licensing and regulating more than 1.6 million businesses and professionals in the State of Florida, such as alcohol, beverage & tobacco, barbers/cosmetologists, condominiums, spas, hotels and restaurants, real estate agents and appraisers, and veterinarians, among many other industries.
Series 31 – Futures – Managed Funds Exam* Series 32 – Limited Futures Exam - Regulations; Series 37 – Canada Securities Representative Exam - With Options; Series 38 – Canada Securities Representative Exam - No Options; Series 42 – Registered Options Representative Exam; Series 44 – NYSE Arca Options Market Maker Exam; Series 47 ...
Florida Fish and Wildlife Conservation Commission (FWCC) Other executive branch agencies and departments nominally under the authority of the Cabinet include: [ 1 ] [ 2 ] Florida Department of Highway Safety and Motor Vehicles (DHSMV)
[3] State laws governing issuance and trading of securities are commonly referred to as blue sky laws and mostly deal with fraud and fraud investigation privileges, registration of securities, and registration of broker-dealers. In general, states allow injunctions to stop businesses from potentially fraudulent activity and states give broad ...
The department serves a diverse clientele that includes state agencies, state employees, state retirees, universities, community colleges, and local governments, along with their retirees. Additionally, DMS products and services are utilized by the residents, visitors, and businesses of Florida, encompassing over 1.1 million customers. [1]
Florida Department of Financial Services (FLDFS) is a state agency of Florida.Its headquarters are in Tallahassee. [1] In 2002 the Florida Legislature merged the Department of Insurance, Treasury and State Fire Marshal and the Department of Banking and Finance into one department, the Florida Department of Financial Services.
Historically, commodity brokers traded grain and livestock futures contracts. Today, commodity brokers trade a wide variety of financial derivatives based on not only grain and livestock, but also derivatives based on foods/softs, metals, energy, stock indexes, equities, bonds, currencies, and an ever growing list of other underlying assets.
The National Futures Association (NFA) is the self-regulatory organization (SRO) for the U.S. derivatives industry, including on-exchange traded futures, retail off-exchange foreign currency and OTC derivatives . NFA is headquartered in Chicago and maintains an office in New York City.