Statutes, codes, and regulations
Georgia Administrative Code
Department 590 - RULES OF OFFICE OF SECRETARY OF STATEChapter 590-4 - COMMISSIONER OF SECURITIES
Subject 590-4-4 - INVESTMENT ADVISERS AND REPRESENTATIVES
Rule 590-4-4-.11 - Notice of Termination of Investment Adviser Representative Registration

Ga. Comp. R. & Regs. 590-4-4-.11

Download
PDF
Current through Rules and Regulations filed through October 17, 2024
Rule 590-4-4-.11 - Notice of Termination of Investment Adviser Representative Registration

The notice of termination as an investment adviser representative pursuant to Section 10-5-37(a) of the Act shall be completed by following the instructions on Form U5 (Uniform Termination Notice for Securities Industry Registration) and filed electronically upon Form U5 on CRD within 30 days of the date of termination.

Ga. Comp. R. & Regs. R. 590-4-4-.11

O.C.G.A. Sec. 10-5-37.

Original Rule entitled "Notice of Termination of Investment Adviser Representative Registration" adopted. F. Nov. 18, 2011; eff. Dec. 8, 2011.