Georgia Rules (Last Updated: March 14, 2014) |
CHAPTER 590. OFFICE OF SECRETARY OF STATE |
Chapter 590-4. COMMISSIONER OF SECURITIES |
Part 590-4-5. BROKER-DEALERS AND AGENTS |
§ 590-4-5-.01. Application Requirements |
§ 590-4-5-.02. Examination |
§ 590-4-5-.03. Termination or Withdrawal of Registration |
§ 590-4-5-.04. Incomplete and Abandoned Applications |
§ 590-4-5-.05. Plan Administrators - Exclusion from Broker-Dealer Definitions |
§ 590-4-5-.06. Books and Records |
§ 590-4-5-.07. Reports |
§ 590-4-5-.08. Bonds |
§ 590-4-5-.09. Notice of Changes in Circumstances |
§ 590-4-5-.10. Fees |
§ 590-4-5-.11. Broker-Dealer Post-Registration Requirements |
§ 590-4-5-.12. Supervisory Requirements |
§ 590-4-5-.13. Expiration and Renewal of Registration |
§ 590-4-5-.14. Multiple Registration |
§ 590-4-5-.15. Cross Border Transaction |
§ 590-4-5-.16. Dishonest or Unethical Business Practices |
§ 590-4-5-.17. Associated Persons of an Issuer Deemed not to be Broker-Dealers |