Registration of Broker-Dealers, Agents, and Investment Advisors

  1. Law
  2. Georgia Code
  3. Commerce and Trade
  4. Georgia Uniform Securities
  5. Registration of Broker-Dealers, Agents, and Investment Advisors

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Section
10-5-30

Registration Requirements for Broker-Dealers; Exemptions

Section
10-5-31

Registration Requirements for Agents; Exemptions

Section
10-5-32

Registration Requirements for Investment Advisors; Exemptions

Section
10-5-33

Registration Requirement for Investment Adviser Representatives; Exemptions

Section
10-5-34

Registration Requirements for Federal Covered Investment Advisers

Section
10-5-35

Application; Consent to Service of Process

Section
10-5-36

Change of Name; Change of Control

Section
10-5-37

Notice of Termination

Section
10-5-38

Withdrawal of Registration

Section
10-5-39

Fees

Section
10-5-40

Financial Requirements

Section
10-5-41

Denial of or Placement of Conditions or Limitations on Registration