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-.05 - Application for Investment Adviser Representatives

Universal Citation: GA Rules and Regs r 590-4-4-.05

Current through Rules and Regulations filed through December 18, 2024

(1) Initial Application. The application for initial registration as an investment adviser representative pursuant to O.C.G.A. Sec. 10-5-33 shall be made by completing Form U4 (Uniform Application for Securities Industry Registration or Transfer) in accordance with the form instructions and by filing the Form U4 electronically on CRD. The application for initial registration shall also include the following:

(a) Proof of compliance by the investment adviser representative with the examination requirements of Rule 590-4-4-.09;

(b) The fee required by O.C.G.A. Sec. 10-5-39(d).

(2) Annual Renewal. The application for annual renewal registration as an investment adviser representative shall be filed electronically on CRD. The application for annual renewal registration shall include the fee required by O.C.G.A. Sec. 10-5-39(d).

(3) Updates and Amendments.

(a) The investment adviser representative is under a continuing obligation to update information required by Form U4 as changes occur.

(b) An investment adviser representative and the investment adviser must electronically file promptly on CRD any amendments to the representative's Form U4; and

(c) An amendment will be considered to be filed promptly if the amendment is filed within thirty (30) days of the event that requires the filing of the amendment.

(4) Completion of Filing. An application for initial or renewal registration is not considered filed for purposes of O.C.G.A. Sec. 10-5-33 until the required fee and all required submissions have been received by the Commissioner.

O.C.G.A. Secs. 10-5-10, 10-5-12, 10-5-33.

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