Individuals & Families
Small Businesses
Nonprofits
Employers
Employee Benefits Brokers
PEOs
Credit Unions
Membership Groups
Legal Information
Sign In
/
U.S. State Codes
/
Georgia
/
Title 10 - Commerce and Trade
/
Chapter 5 - Georgia Uniform...
/
Article 4 - Registration of Broker-Dealers, Age...
Article 4 - Registration of Broker-Dealers, Agents, and Investment Advisors
§ 10-5-30. Registration requirements for broker-dealers; exemptions
§ 10-5-31. Registration requirements for agents; exemptions
§ 10-5-32. Registration requirements for investment advisors; exemptions
§ 10-5-33. Registration requirement for investment adviser representatives; exemptions
§ 10-5-34. Registration requirements for federal covered investment advisers
§ 10-5-35. Application; consent to service of process
§ 10-5-36. Change of name; change of control
§ 10-5-37. Notice of termination
§ 10-5-38. Withdrawal of registration
§ 10-5-39. Fees
§ 10-5-40. Financial requirements
§ 10-5-41. Denial of or placement of conditions or limitations on registration