Ga. Comp. R. & Regs. 590-4-4 – Investment Advisers and Representatives | Midpage

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Georgia Rules and Regulations (Ga. Comp. R. & Regs.)

590-4-4

Ga. Comp. R. & Regs. 590-4-4

Investment Advisers and Representatives

590-4-4-.01Electronic Filing with Designated Entity 590-4-4-.02Application for Investment Adviser Registration 590-4-4-.03Notice Filing Requirements for Federal Covered Investment Advisers 590-4-4-.04Investment Advisers Switching to or from SEC Registration 590-4-4-.05Application for Investment Adviser Representatives 590-4-4-.06Multiple Registrations 590-4-4-.07Incomplete and Abandoned Applications 590-4-4-.08Investment Adviser and Investment Advuiser Representative Renewal Notices 590-4-4-.09Examination Requirements 590-4-4-.10Withdrawal of Investment Adviser Registration 590-4-4-.11Notice of Termination of Investment Adviser Representative Registration 590-4-4-.12Exclusions from the Defition of Investment Adviser Representative 590-4-4-.13Registration Exemption for Certain Investment Advisers and Federal Covered Investment Adviser 590-4-4-.14Books and Records to Be Maintained by Investment Advisers; Routine Examinations and Fees 590-4-4-.15Supervision of Investment Adviser Representatives and Employees 590-4-4-.16Investment Adviser Brochure Rule 590-4-4-.17Contents of an Investment Advisory Contract 590-4-4-.18Financial Reporting Requirements for Investment Advisers 590-4-4-.19Prohibited Conduct in Providing Investment Advice 590-4-4-.20Custody Requirements for Investment Advisers