Compilation of Rules and Regulations of the State of Georgia
Department 590 - RULES OF OFFICE OF SECRETARY OF STATE
Chapter 590-4 - COMMISSIONER OF SECURITIES
Subject 590-4-4 - INVESTMENT ADVISERS AND REPRESENTATIVES
Rule 590-4-4-.02 - Application for Investment Adviser Registration
Current through Rules and Regulations filed through September 25, 2023
(1) Initial Application. The application for initial registration as an investment adviser pursuant to O.C.G.A. Sec. 10-5-32 shall be made by completing Form ADV (Uniform Application for Investment Adviser Registration) in accordance with the form instructions and by filing the form electronically with IARD. The application for initial registration shall also include the following:
(2) Form ADV Part II. The Commissioner requires Part 2 (including Parts 2A and 2B) to be filed electronically with IARD.
(3) Annual Renewal. The application for annual renewal registration as an investment adviser shall be filed electronically with IARD. The application for annual renewal registration shall include the fee required by O.C.G.A. Sec. 10-5-39(c).
(4) Updates and Amendments.
(5) Certain Filings Deemed Initial Applications. The following shall be deemed initial applications for registration even though designated as amendments:
(6) Completion of Filing. An application for initial or renewal registration is not considered filed for purposes of O.C.G.A. Sec. 10-5-32 until the required fee and all required submissions have been received by the Commissioner.
O.C.G.A. Secs. 10-5-5, 10-5-6, 10-5-32.
Original Rule entitled "Installment Sales of Registered Securities" adopted. F. July 5, 1974; eff. July 25, 1974.
Repealed: New Rule of same title adopted. F. Apr. 13, 1983; eff. May 3, 1983.
Repealed: New Rule of same title adopted. F. Dec. 21, 2004; eff. Jan. 10, 2005.
Repealed: New Rule entitled "Application for Investment Adviser Registration" adopted. F. Nov. 18, 2011; eff. Dec. 8, 2011.
Amended: F. Mar. 9, 2012; eff. Mar. 29, 2012.