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-.04 - Investment Advisers Switching to or from SEC Registration
Current through Rules and Regulations filed through September 25, 2023
(1) Investment Advisers Switching to SEC Registration. If an investment adviser is registered with the Commissioner and subsequently applies for registration with the SEC, then no later than 10 days after becoming effective with the SEC, the investment adviser shall file its Form ADV-W (Notice of Withdrawal from Registration as Investment Adviser) and notice file as a federal covered investment adviser pursuant to O.C.G.A. Sec. 10-5-34(c) with the Commissioner through IARD.
(2) Federal Covered Investment Advisers Switching from SEC Registration. If a federal covered investment adviser registered with the SEC loses its eligibility to be registered with the SEC, then no later than 10 days after filing its Form ADV-W through IARD, the federal covered investment adviser must terminate its state notice filing with the Commissioner and file its Form ADV with the Commissioner to register as an investment adviser, unless otherwise exempt from registration with the Commissioner.
O.C.G.A. Secs. 10-5-10, 10-5-12, 10-5-35.
Original Rule entitled "Limitation on Designated Dealer Compensation" adopted as ER. 590-4-4-0.34-.04. F. July 2, 1990; eff. July 1, 1990, the date of adoption.
Amended: Permanent Rule of same title adopted. F. Aug. 8, 1990; eff. Aug. 28, 1990.
Repealed: New Rule entitled "Dishonest or Unethical Business Practices" adopted. F. Dec. 21, 2004; eff. Jan. 10, 2005.
Repealed: New Rule entitled "Investment Advisers Switching to or From SEC Registration" adopted. F. Nov. 18, 2011; eff. Dec. 8, 2011.