Georgia Uniform Securities Act

The Georgia Uniform Securities Act became effective on July 1, 2009.  It is based on a model act promulgated by the National Conference of Commissioners on Uniform State Laws and is administered by the Georgia Securities Commissioner.  Georgia was the 15th state to adopt a securities regulation regime based on this model act.  The Act is divided into seven articles that are augmented by the rules and orders promulgated by the Georgia Securities Commissioner.     

Click here to view the Act
Georgia Uniform Securities Act of 2008 Bar Journal Article

 

Georgia Uniform Act Rules:
Chapter 590-4-1 General Provisions
Chapter 590-4-2 Exemptions
Chapter 590-4-3 Registration of Securities
Chapter 590-4-4 Investment Advisers and Representatives
Chapter 590-4-5 Broker-Dealers and Agents
Chapter 590-4-6 Rules Governing Administrative Hearings

 

Georgia Uniform Act Implementation Orders:    
2012:      
2012-01 Renewals of 1973 Act Small Issue Registrations
2011:      
2011-04 Uniform Act Implementation Order
2011-03 Examination of Agents
2011-02 Investment Advisers - Exclusion from Solicitor Definition
2011-01 Regulation D Notice Filing
2010:      
2010-05 Investment Advisers - Registration Exemptions
2010-04 Investment Advisers - Exclusion from Solicitor Definition
2010-03 Investment Advisers - Registration Exemptions (superceded by IO-2010-05)
2010-02 Securities - Recognition of Manual Exemptions
2010-01 Securities - Recognition of Manual Exemptions (superceded by IO-2010-02)
2009:      
2009-14 Investment Advisers - Registration Exemptions (See also IO 2010-02)
2009-13 Regulations D Notice Filings
2009-12 Plan Administrators - Exclusion from Broker-Dealer Definition
2009-11 Investment Advisers and Representatives - Examination Requirements
2009-10 Broker-Dealer Agents - Examination Requirements
2009-09 Securities Registration Filing Fees
2009-08 CRD Payment Requirements
2009-07 Federal Covered Investment Advisers - Notice Filings
2009-06 Investment Advisers Postregistration Requirements
2009-05 Broker-Dealer Postregistration Requirements
2009-04 Adoption of Forms
2009-03 Federal Covered Securities - Notice Filings
2009-02 Broker-Dealers - Registration Exemptions
2009-01 Investment Advisers - Registration Exemptions (See also IO 2009-14 and IO 2010-02)

 

 


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