Compilation of Rules and Regulations of the State of Georgia
Rule 590-4-4-.01 - Electronic Filing with Designated Entity

Current through Rules and Regulations filed through September 25, 2023

(1) Designation. Pursuant to O.C.G.A. Sec. 10-5-35, the Commissioner designates the web-based Investment Adviser Registration Depository ("IARD") to receive and store filings and collect related fees from investment advisers and investment adviser representatives on behalf of the Commissioner.

(2) Use of IARD. Unless otherwise provided, all investment adviser and investment adviser representative applications, amendments, reports, notices, related filings and fees required to be filed with the Commissioner pursuant to the rules promulgated under the Act, shall be filed electronically with and transmitted to IARD. The following additional conditions relate to such electronic filings:

a. Electronic Signature. When a signature or signatures are required by the particular instructions of any filing to be made electronically through IARD, a duly authorized officer of the applicant or the applicant him or herself, as required, shall affix his or her electronic signature to the filing by typing his or her name in the appropriate fields and submitting the filing electronically to IARD. Submission of a filing in this manner shall constitute irrefutable evidence of legal signature by any individuals whose names are typed on the filing.

b. When filed. Solely for purposes of a filing made electronically through IARD, a document is considered filed with the Commissioner when all fees are received and the filing is accepted by IARD on behalf of the state.

(3) Electronic Filing. Notwithstanding subsection (2) of this Rule, the electronic filing of any particular document and the collection of related processing fees shall not be required until such time as IARD provides for receipt of such filings and fees and notice is provided by the Commissioner. Any documents or fees required to be filed with the Commissioner that are not permitted to be filed with or cannot be accepted electronically by IARD shall be filed directly with the Commissioner

(4) Filed Record. Every document filed with IARD or CRD shall be deemed to have been made in a "record" filed under the Act for purposes of O.C.G.A. Sec. 10-5-54.

(5) Processing Fee. Each Investment Advisor Representative applicant shall pay a $5.00 processing fee payable through CRD. No portion of the processing fee is refundable. Applications will not be accepted, and thus will not be considered filed by the Commissioner, until registrants have paid the processing fee. The fee shall be effective for applications filed after December 31, 2021.

O.C.G.A. §§ 10-5-35, 10-5-39, 10-5-70, 10-5-74.

Original Rule entitled "Untrue and Misleading Statements Prohibited" adopted. F. July 5, 1974; eff. July 25, 1974.

Amended: F. Feb. 24, 1987; eff. Mar. 16, 1987.

Repealed: New Rule entitled "Untrue and Misleading Statements" adopted. F. Dec. 21, 2004; eff. Jan. 10, 2005.

Repealed: New Rule entitled "Electronic Filing with Designated Entity" adopted. F. Nov. 18, 2011; eff. Dec. 8, 2011.

Amended: F. Mar. 9, 2012; eff. Mar. 29, 2012.

Amended: F. Dec. 9, 2021; eff. Dec. 29, 2021.

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