Georgia Code, Title 10, Chapter 5, Article 4 - Registration of Broker-Dealers, Agents, and Investment Advisors

• § 10-5-30 - Registration Requirements for Broker-Dealers; Exemptions
  (a) It is unlawful for a person to transact business in this state as a broker-dealer unless the person is registered under this chapter...
• § 10-5-31 - Registration Requirements for Agents; Exemptions
  (a) It is unlawful for an individual to transact business in this state as an agent unless the individual is registered under this chapter...
• § 10-5-32 - Registration Requirements for Investment Advisors; Exemptions
  (a) It is unlawful for a person to transact business in this state as an investment adviser unless the person is registered under this...
• § 10-5-33 - Registration Requirement for Investment Adviser Representatives; Exemptions
  (a) It is unlawful for an individual to transact business in this state as an investment adviser representative unless the individual is registered under...
• § 10-5-34 - Registration Requirements for Federal Covered Investment Advisers
  (a) Except with respect to a federal covered investment adviser described in subsection (b) of this Code section, it is unlawful for a federal...
• § 10-5-35 - Application; Consent to Service of Process
  (a) A person shall register as a broker-dealer, agent, investment adviser, or investment adviser representative by filing an application and a consent to service...
• § 10-5-36 - Change of Name; Change of Control
  (a) A broker-dealer or investment adviser may succeed to the current registration of another broker-dealer or investment adviser or a notice filing of a...
• § 10-5-37 - Notice of Termination
  (a) If an agent registered under this chapter terminates employment by or association with a broker-dealer or issuer or if an investment adviser representative...
• § 10-5-38 - Withdrawal of Registration
  Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective 60 days after the filing of the application to...
• § 10-5-39 - Fees
  (a) A person shall pay a fee of $250.00 when initially filing an application for registration as a broker-dealer and a fee of $100.00...
• § 10-5-40 - Financial Requirements
  (a) Subject to Section 15(h) of the Securities Exchange Act of 1934, 15 U.S.C. Section 78o(h), or Section 222 of the Investment Advisers Act...
• § 10-5-41 - Denial of or Placement of Conditions or Limitations on Registration
  (a) If the Commissioner finds that the order is in the public interest and subsection (d) of this Code section authorizes the action, an...

Last modified: October 14, 2016