Document Type

Peach Sheet


The Act amends the Georgia Securities Act of 1973 to provide for the regulation of the investment advisory industry by requiring the registration of investment advisers and investment adviser representatives. The Act further provides for examinations; registration and renewal fees; the refusal, denial, and revocation of registration; bonds; the keeping of records and accounts, and the examination of these materials by representatives of the commissioner; rules, regulations, investigations, and hearings (including notice and opportunity for such hearings); cooperation with other jurisdictions; administrative, civil, and criminal actions; civil liability; and penalties for violations.

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