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 590-4-5 - BROKER-DEALERS AND AGENTS
Rule 590-4-5-.05 - Plan Administrators - Exclusion from Broker-Dealer Definitions
Universal Citation: GA Rules and Regs r 590-4-5-.05
Current through Rules and Regulations filed through March 20, 2024
Entities that administer the types of plans described in Section 10-5-11(21) of the Act on behalf of the entities described in Section 10-5-11(21) of the Act are excluded from the broker-dealer definition of Section 10-5-2(3) of the Act, unless they meet such definition by virtue of other activities or characteristics not strictly related to the administration of such plans.
O.C.G.A. Secs. 10-5-2, 10-5-70, 10-5-74.
Disclaimer: These regulations may not be the most recent version. Georgia may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
