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11 lis 2024 · The Securities Division regulates securities activity statewide. We protect against investment fraud and promote financial literacy.
Please review the Securities Division's instructions on fulfilling the background requirements on fulfilling the background check requirements for investment advisor representatives and broker-dealer agents applicants in the State of Georgia. They will guide you through the process of submitting fingerprints through Gemalto Cogent, either ...
Financial & Bonding Requirements. An IA is not required to maintain a bond or satisfy a minimum net worth requirement. Audited financial statements are required for IAs that have custody of client funds or securities and IAs that require advance payment of fees in excess of $500.
Georgia requires that registered representatives pass the Series 63 (explained below), plus one of the following exams to satisfy FINRA’s requirements for securities representative registration (Series 1; Series 2; Series 6; Series 7; Series 22 or Series 52).
10 lis 2024 · In addition to the SEC, individual states regulate certain securities. The Georgia Secretary of State serves as the Georgia Commissioner of Securities. In that capacity, the Secretary of State regulates the offer and sale of securities within and from the state of Georgia.
The following is a step-by-step explanation of how to become an investment adviser representative (IAR) or establish an investment adviser (IA) firm in Georgia registered at either the state level with the Georgia Securities Division or at the federal level with the Securities & Exchange Commission (SEC).
(a) The Uniform Investment Adviser State Law Examination (Series 65); or (b) The Uniform Combined State Law Examination (Series 66), the Securities Industry Essentials (SIE) Exam, and the General Securities Representative Examination (Series 7/S7TO).
