§ 10-5-23. Registration by Qualification; Additional Information and Records Required; Effective Date
A security may be registered by qualification under this Code section. A registration statement under this Code section must contain the information or records specified in Code Section 10-5-24, a consent to service of process complying with Code Section 10-5-80, and, if required by rule adopted under this chapter, the following information or records: With […]
§ 10-5-24. Who May File Registration Statement; Conditions of Registration; Amendment
A registration statement may be filed by the issuer, a person on whose behalf the offering is to be made, or a broker-dealer registered under this chapter. If a registration statement is withdrawn before the effective date or a pre-effective stop order is issued under Code Section 10-5-25, the Commissioner shall retain the fee. A […]
§ 10-5-25. Denying, Suspending, or Revoking the Effectiveness of Registration Statement; Publication of Conduct Constituting Violations; Notice and Hearing
The Commissioner may issue a stop order denying effectiveness to, or suspending or revoking the effectiveness of, a registration statement if the Commissioner finds that the order is in the public interest and that: The registration statement as of its effective date or before the effective date in the case of an order denying effectiveness, […]
§ 10-5-26. Waiver or Modification of Requirements by Commissioner
The Commissioner may waive or modify, in whole or in part, any or all of the requirements of Code Sections 10-5-21, 10-5-22, and subsection (b) of Code Section 10-5-23 or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to subsection (i) of Code Section 10-5-24. […]
§ 10-5-30. Registration Requirements for Broker-Dealers; Exemptions
It is unlawful for a person to transact business in this state as a broker-dealer unless the person is registered under this chapter as a broker-dealer or is exempt from registration as a broker-dealer under subsection (b) or (d) of this Code section. The following persons are exempt from the registration requirement of subsection (a) […]
§ 10-5-31. Registration Requirements for Agents; Exemptions
It is unlawful for an individual to transact business in this state as an agent unless the individual is registered under this chapter as an agent or is exempt from registration as an agent under subsection (b) of this Code section. The following individuals are exempt from the registration requirement of subsection (a) of this […]
§ 10-5-32. Registration Requirements for Investment Advisors; Exemptions
It is unlawful for a person to transact business in this state as an investment adviser unless the person is registered under this chapter as an investment adviser or is exempt from registration as an investment adviser under subsection (b) of this Code section. The following persons are exempt from the registration requirement of subsection […]
§ 10-5-33. Registration Requirement for Investment Adviser Representatives; Exemptions
It is unlawful for an individual to transact business in this state as an investment adviser representative unless the individual is registered under this chapter as an investment adviser representative or is exempt from registration as an investment adviser under subsection (b) of this Code section. The following individuals are exempt from the registration requirement […]
§ 10-5-34. Registration Requirements for Federal Covered Investment Advisers
Except with respect to a federal covered investment adviser described in subsection (b) of this Code section, it is unlawful for a federal covered investment adviser to transact business in this state as a federal covered investment adviser unless the federal covered investment adviser complies with subsection (c) of this Code section. The following federal […]
§ 10-5-35. Application; Consent to Service of Process
A person shall register as a broker-dealer, agent, investment adviser, or investment adviser representative by filing an application and a consent to service of process complying with Code Section 10-5-80, and paying the fee specified in Code Section 10-5-39 and any reasonable fees charged by the Commissioner for processing the filing. The application must contain: […]