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
Current through Rules and Regulations filed through September 25, 2023
(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:
(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.
(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.
Original Rule entitled "Market Timing and Late Trading" adopted. F. Dec. 21, 2004; eff. Jan. 10, 2005.
Repealed: New Rule entitled "Application for Investment Adviser Representatives" adopted. F. Nov. 18, 2011; eff. Dec. 8, 2011.