§ 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 If a registration statement is withdrawn before the effective date or a pre-effective stop order is issued under Code Section 10-5-25, the Commissioner shall retain the fee.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 […]
§ 10-5-1. Short Title
This chapter shall be known as and may be cited as the “Georgia Uniform Securities Act of 2008.” History. Code 1981, § 10-5-1 , enacted by Ga. L. 2008, p. 381, § 1/SB 358. Law reviews. For survey article on business associations, see 60 Mercer L. Rev. 35 (2008).
§ 10-5-2. Definitions
As used in this chapter, the term: “Agent” means an individual, other than a broker-dealer, who represents a broker-dealer in effecting or attempting to effect purchases or sales of securities or who represents an issuer in effecting or attempting to effect purchases or sales of the issuer’s securities. A partner, officer, or director of a […]
§ 10-5-3. Citations to United States Code
Any citation in this chapter to a section of the United States Code includes those statutes and the rules and regulations adopted under those statutes as in effect on July 1, 2009, or as later amended. History. Code 1981, § 10-5-3 , enacted by Ga. L. 2008, p. 381, § 1/SB 358. Code Commission notes. […]
§ 10-5-4. Reference to Agency or Department of United States
A reference in this chapter to an agency or department of the United States is also a reference to a successor agency or department. History. Code 1981, § 10-5-4 , enacted by Ga. L. 2008, p. 381, § 1/SB 358.
§ 10-5-5. Electronic Records and Signatures
This chapter modifies, limits, and supersedes the federal Electronic Signatures in Global and National Commerce Act, 15 U.S.C. Section 7001, et seq., but does not modify, limit, or supersede Section 101(c) of that act, 15 U.S.C. Section 7001(c), or authorize electronic delivery of any of the notices described in Section 103(b) of that act, 15 […]
§ 10-5-10. Exemptions From Registration of Securities
The following securities are exempt from the requirements of Article 3 of this chapter and Code Section 10-5-53: A security, including a revenue obligation or a separate security as defined in Rule 131, 17 C.F.R. 230.131, adopted under the Securities Act of 1933, 15 U.S.C. Section 77a, et seq., issued, insured, or guaranteed by the […]
§ 10-5-11. Exempt Transactions
The following transactions are exempt from the requirements of Article 3 of this chapter and Code Section 10-5-53: An isolated nonissuer transaction, whether effected by or through a broker-dealer or not; A nonissuer transaction by or through a broker-dealer registered, or exempt from registration under this chapter, and a resale transaction by a sponsor of […]
§ 10-5-12. Exemption of Securities, Transactions, or Offers by Adoption of Rule or Issuance of Order
A rule adopted or order issued under this chapter may exempt a security, transaction, or offer; a rule adopted under this chapter may exempt a class of securities, transactions, or offers from any or all of the requirements of Article 3 of this chapter and Code Section 10-5-53; and an order issued under this chapter […]