Georgia Commons

Title 10. COMMERCE AND TRADE

Chapter 5. GEORGIA UNIFORM SECURITIES

59 sections · 10-5-1 to 10-5-108

Article 1. GENERAL PROVISIONS

  1. 10-5-1Short title.
  2. 10-5-2Definitions.
  3. 10-5-3Citations to United States Code.
  4. 10-5-4Reference to agency or department of United States.
  5. 10-5-5Electronic records and signatures.

Article 2. EXEMPTIONS

  1. 10-5-10Exemptions from registration of securities.
  2. 10-5-11Exempt transactions.
  3. 10-5-12Exemption of securities, transactions, or offers by adoption of rule or issuance of order.
  4. 10-5-13Denial, suspension, or revocation of exemption.

Article 3. REGISTRATION OF SECURITIES

  1. 10-5-20Restrictions on sales of securities.
  2. 10-5-21Filing of records.
  3. 10-5-22Registration by coordination; additional records; effective date of federal registration statement.
  4. 10-5-23Registration by qualification; additional information and records required; effective date.
  5. 10-5-24Filing of registration statement; conditions of registration; amendment.
  6. 10-5-25Denying, suspending, or revoking the effectiveness of registration statement; publication of conduct constituting violations; notice and hearing.
  7. 10-5-26Waiver or modification of requirements by Commissioner.

Article 4. REGISTRATION OF BROKER-DEALERS, AGENTS, AND INVESTMENT ADVISORS

  1. 10-5-30Registration requirements for broker-dealers; exemptions.
  2. 10-5-31Registration requirements for agents; exemptions.
  3. 10-5-32Registration requirements for investment advisors; exemptions.
  4. 10-5-33Registration requirement for investment adviser representatives; exemptions.
  5. 10-5-34Registration requirements for federal covered investment advisers.
  6. 10-5-35Application for registration; consent to service of process.
  7. 10-5-36Successors to registration; change of name, form of organization, and control.
  8. 10-5-37Notice of termination.
  9. 10-5-38Withdrawal of registration.
  10. 10-5-39Fees.
  11. 10-5-40Financial requirements.
  12. 10-5-41Denial of or placement of conditions or limitations on registration; civil penalties.

Article 5. VIOLATIONS, PENALTIES, AND CIVIL LIABILITY

  1. 10-5-50Unlawful practices with offer, sale, or purchase of security.
  2. 10-5-51Fraud or deceit unlawful; adoption of rule.
  3. 10-5-52Burden on person claiming exemption, preemption, or exclusion in civil and criminal proceedings.
  4. 10-5-53Order or rule may require filing of prospectus and additional information.
  5. 10-5-54Unlawful to make false or misleading statements.
  6. 10-5-55Acceptance of filings not indicative of accuracy, merit, or qualification.
  7. 10-5-56Liability for defamation related to information contained in record.
  8. 10-5-57Penalties for violations.
  9. 10-5-58Enforcement of civil liability; damages.
  10. 10-5-59Exemptions to liability.

Article 6. ADMINISTRATION

  1. 10-5-70Administration of chapter; Commissioner of Securities; authority.
  2. 10-5-71Powers of Commissioner.
  3. 10-5-72Violations; remedies and penalties.
  4. 10-5-73Cease and desist orders; denying, revoking, or conditioning exemptions for broker-dealers; civil penalties.
  5. 10-5-74Issuance of forms and orders; adoption and amendment of rules.
  6. 10-5-75Register of applications for registration of securities; registration statements; notice filings; notices of claims; furnishing certain information to the public.
  7. 10-5-76Public records; exceptions.
  8. 10-5-77Intergovernmental cooperation, coordination, and consultation; sharing of records and information.
  9. 10-5-78Rules and orders issued under this chapter subject to judicial review.
  10. 10-5-79Applicability of chapter to certain offers to purchase or sell.
  11. 10-5-80Consent to service of process.

Article 7. APPLICABILITY OF PREDECESSOR PROVISIONS

  1. 10-5-90Predecessor Act governs actions pending and registrations, orders, and rules in effect on July 1, 2009.

Article 8. FINANCIAL PROTECTIONS FOR ELDERLY OR DISABLED ADULTS

  1. 10-5-100Definitions.
  2. 10-5-101Prompt notification to Commissioner of exploitation; requirements.
  3. 10-5-102Notifications to designated third parties.
  4. 10-5-103Delayed disbursement if financial exploitation suspected; expiration; judicial extension of delay.
  5. 10-5-104Limitations on administrative and civil liability.
  6. 10-5-105Disclosure on investigations.
  7. 10-5-106Accessibility of books and records.
  8. 10-5-107Administrative and civil liability.
  9. 10-5-108Reporting requirements remain.