---
title: O.C.G.A. § 10-5-53. Order or rule may require filing of prospectus and additional information.
collection: code
id: 10-5-53
cite_as: O.C.G.A. § 10-5-53 (2025)
canonical_url: https://georgiacommons.org/code/10-5-53
md_url: https://georgiacommons.org/code/10-5-53.md
text_url: https://georgiacommons.org/code/10-5-53/text
source_url: https://www.legis.ga.gov/api/document/docs/default-source/joint-features-document-library/t10-(v8)-2024-pdf.pdf?sfvrsn=1992b47e_0#page=811
date: 2025
status: active
corpus_version: 2025-supplement-89aa39ab3c68
license: CC0-1.0
publisher: Georgia Commons, an independent project of Georgia Civic Data. Not the State of Georgia. Not legal advice.
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version: the only printed version
in_force: true
current_through: Including Acts of the 2025 Regular Session of the General Assembly
heading_path: COMMERCE AND TRADE / GEORGIA UNIFORM SECURITIES / VIOLATIONS, PENALTIES, AND CIVIL LIABILITY
---

# O.C.G.A. § 10-5-53. Order or rule may require filing of prospectus and additional information.

(a) Except as otherwise provided in subsection (b) of this Code section, a rule adopted or order issued under this chapter may require the filing of a prospectus, pamphlet, circular, form letter, advertisement, sales literature, or other advertising record relating to a security or investment advice, addressed or intended for distribution to prospective investors, including clients or prospective clients of a person registered or required to be registered as an investment adviser under this chapter.

(b) This Code section does not apply to sales and advertising literature specified in subsection (a) of this Code section which relates to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by Code Sections 10-5-10 through 10-5-12, except as required pursuant to paragraph (7) of Code Section 10-5-10.

## History

Code 1981, § 10-5-53, enacted by Ga. L. 2008, p. 381, § 1/SB 358.