Restrictions on sales of securities

Filing of records. Registration by coordination; additional records; effective date of federal registration statement. Registration by qualification; additional information and records required; effective date. Filing of registration statement; conditions of registration; amendment. Denying, suspending, or revoking the effectiveness of registration statement; publication of conduct constituting violations; notice and hearing. Waiver or modification of re- Commis- Article 4 10-5-32. Article 2 by 10-5-33. 10-5-34. 10-5-35. 10-5-36. 10-5-37. 10-5-38. 10-5-39. 10-5-40. 10-5-41. Registration requirements for broker-dealers; exemptions. Registration requirements for agents; exemptions. Registration requirements for investment advisors; exemptions. Registration requirement for investment adviser representatives; exemptions. Registration requirements for federal covered investment advisers. Application for registration; consent to service of process. Successors to registration; change of name, form of organization, and control. Notice of termination. Withdrawal of registration. Fees. Financial requirements. Denial of or placement of conditions or limitations on registration; civil penalties. Article 5 Violations, Penalties, and Civil Liability 10-5-50. 10-5-51. 10-5-52. 10-5-53. 704 Unlawful practices with offer, sale, or purchase of security. Fraud or deceit unlawful; adoption of rule. Burden on person claiming exemption, preemption, or exclusion in civil and criminal proceedings. Order or rule may require filing of prospectus and additional information. T.10, C.5 Sec. 10-5-54. 10-5-55. 10-5-56. 10-5-57. 10-5-58. 10-5-59. GEORGIA UNIFORM SECURITIES Sec. Unlawful to make false or misleading statements. Acceptance of filings not indicative of accuracy, merit, or qualification. Liability for defamation related to information contained in record. Penalties for violations. Enforcement of civil liability; damages. Exemptions to liability. 10-5-79. 10-5-80. Applicability of Predecessor Provisions Administration 10-5-71. 10-5-72. 10-5-73. 10-5-74. 10-5-75. 10-5-76. 10-5-77. 10-5-78. Administration of chapter; Commissioner of Securities; authority. Powers of Commissioner. Violations; remedies and penalties. Cease and desist orders; denying, revoking, or conditioning exemptions for broker-dealers; civil penalties. Issuance of forms and orders; adoption and amendment of rules. Register of applications for registration of securities; registration statements; notice filings; notices of claims; furnishing certain information to the public. Public records; exceptions. Intergovernmental cooperation, coordination, and consultation; sharing of records and information. Rules and orders issued un- Editor’s notes. Ga. L. 2008, p. 381, § 1/SB 358, effective July 1, 2009, repealed the Code sections formerly codified at this chapter and enacted the current chapter. The former chapter consisted of Code Sections 10-5-1 through 10-5-23.1, and 10-5-24, and was based on Code 1933, §§ 97-101–97-113, 97-114, 97-115–97-121, 97-9901, enacted by Ga. L. 1973, p. 1202, §§ 1–22; Code 1933, § 97-114.1, enacted by Ga. L. 1974, der this chapter subject to judicial review. Applicability of chapter to certain offers to purchase or sell. Consent to service of process. Article 7 10-5-90. Article 6 10-5-70. T.10, C.5 Predecessor Act governs actions pending and registrations, orders, and rules in effect on July 1, 2009. Article 8 Financial Protections for Elderly or Disabled Adults 10-5-100. 10-5-101. 10-5-102. 10-5-103. 10-5-104. 10-5-105. 10-5-106. 10-5-107. 10-5-108. Definitions.