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19 wrz 2024 · The Georgia Secretary of State oversees voting, tracks annual corporate filings, grants professional licenses, and oversees the state's securities' market.
The Securities Division registers securities offered or sold in Georgia, oversees firms and individuals selling securities or providing investment advice in Georgia, enforces the Securities Act through criminal, civil and administrative procedures, and promotes financial literacy and investor education as part of investor protection.
The SEC oversees key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. For detailed information on the authority of the SEC and the entities it regulates, please visit: www.sec.gov.
The Georgia Secretary of State registers voters, tracks annual corporate filings, grants professional licenses, and oversees the state's securities' market.
Registered representatives in Georgia must become licensed to sell securities through the Georgia Secretary of State, Securities Division before they can solicit clients. Featured Programs: Sponsored School(s)
The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
5 paź 2010 · Documents and forms to upload. Registration forms for the above securities offering types are available for download on the Georgia Secretary of State's website. Once your filing is submitted, a submission receipt will be sent to you and your filing placed in queue to be processed.
