Rule 590-4-2-.04. Non-issuer Transactions Manual Exemption

For purposes of exempt non-issuer transactions by or through a broker-dealer registered or exempt from registration under this Chapter, the following securities manuals are designated as nationally recognized securities manuals: (a) Standard & Poor's Standard Corporations Descriptions, (b) Best's Insurance Reports Life-Health; (c) Mergent's Bank and Finance Manual and News Reports; (d) Mergent's Industrial Manual and News Reports; (e) Mergent's Public Utility Manual and News Reports; (f) Mergent's Transportation Manual and News Reports; (g) Mergent's Municipal and Government Manual and News Reports; (h) Mergent's International Manual and News Reports; (i) Fitch's Individual Stock Bulletin; (j) The OTCQX Market; (k) The OTCQB Market; and (l) Any other securities manual as determined in the discretion of the Commissioner to be a nationally recognized securities manual, which shall require the continuous disclosure by any issuer relying on such manual for the purpose of the registration exemption. Cite as Ga. Comp. R. & Regs. R. 590-4-2-.04
Authority: O.C.G.A. §§ 10-5-11, 10-5-70.
History. Original Rule entitled "Advertising by Corporations for Publicity Purposes" adopted. F. and eff. July 19, 1965.
Amended: ER. 590-4-2-0.5-.04 repealing Rule adopted. F. and eff. Apr. 1, 1974, the date of adoption.
Amended: New Rule entitled "Dealer's and Salesmen's Licenses" adopted. F. July 5, 1974; eff. July 25, 1974.
Repealed: New Rule entitled "Reports" adopted. F. Dec. 9, 1980; eff. Dec. 29, 1980.
Repealed: New Rule of same title adopted. F. Apr. 13, 1983; eff. May 3, 1983.
Amended: F. Feb. 24, 1987; eff. Mar. 16, 1987.
Repealed: New Rule of same title adopted. F. Dec. 21, 2004; eff. Jan. 10, 2005.
Repealed: New Rule entitled "Non-issuer Transactions Manual Exemption" adopted. F. Nov. 18, 2011, Dec. 8, 2011.
Amended: F. Dec. 14, 2016; eff. Jan. 3, 2017.