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Georgia Statutes, Title 10

Georgia/Statutes

← All Georgia coverage

Title 10

20 chapters · 1,055 sections in this title.

All chapters in Title 101,055 Ch 1, SELLING AND OTHER TRADE PRACTICES506 Ch 4, WAREHOUSEMEN118 Ch 5, GEORGIA UNIFORM SECURITIES61 Ch 6, AGENCY57 Ch 9, GEO. L. SMITH II GEORGIA WORLD CONGR…50 Ch 6B, GEORGIA POWER OF ATTORNEY44 Ch 2, WEIGHTS AND MEASURES37 Ch 7, SURETYSHIP34 Ch 14, CEMETERY AND FUNERAL SERVICES32 Ch 5A, COMMODITIES AND COMMODITY CONTRACTS …21 Ch 12, ELECTRONIC TRANSACTIONS20 Ch 10, SEED-CAPITAL FUND18 Ch 6A, BROKERAGE RELATIONSHIPS IN REAL ESTA…16 Ch 13A, MASTER SETTLEMENT AGREEMENT ENHANCEMENTS10

61 sections·Filtered byTitle 10✕Ch 5✕

O.C.G.A. § 10-5-1 Short title
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This chapter shall be known 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; Ga. L. 2024, p. 1052, § 2(44)/SB 448, effective July 1, 2024. Amendments. The 2024 amendment, effective July 1, …
O.C.G.A. § 10-5-2 Deﬁnitions
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As used in this chapter, the term: (1) “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…
O.C.G.A. § 10-5-3 Citations to United States Code
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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.
O.C.G.A. § 10-5-4 Reference to agency or department of United States
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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.

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O.C.G.A. § 10-5-10 Exemptions from registration of securities

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The following securities are exempt from the requirements of Article 3 of this chapter and Code Section 10-5-53: (1) 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. Sec…

O.C.G.A. § 10-5-11 Exempt transactions

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The following transactions are exempt from the requirements of Article 3 of this chapter and Code Section 10-5-53: (1) An isolated nonissuer transaction, whether effected by or through a broker-dealer or not; (2) A nonissuer transaction by or through a broker-dealer registered, o…

O.C.G.A. § 10-5-12 Exemption of securities, transactions, or offers by adoption of rule or issuance of order

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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; a…

O.C.G.A. § 10-5-13 Denial, suspension, or revocation of exemption

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(a) Except with respect to a federal covered security or a transaction involving a federal covered security, an order issued under this chapter may deny, suspend application of, condition, limit, or revoke an exemption created under subparagraph (C) of paragraph (3) or paragraph …

O.C.G.A. § 10-5-20 Restrictions on sales of securities

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It is unlawful for a person to offer or sell a security in this state unless: (1) The security is a federal covered security; (2) The security, transaction, or offer is exempted from registration under Code Sections 10-5-10 through 10-5-12; or (3) The security is registered under…

O.C.G.A. § 10-5-21 Filing of records

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(a) With respect to a federal covered security, as deﬁned in Section 18(b)(2) of the Securities Act of 1933, 15 U.S.C. Section 77r(b)(2), that is not otherwise exempt under Code Sections 10-5-10 through 10-5-12, a rule adopted or order issued under this chapter may require the ﬁl…

O.C.G.A. § 10-5-22 Registration by coordination; additional records; effective date of federal registration statement

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(a) A security for which a registration statement has been ﬁled under the Securities Act of 1933, 15 U.S.C. Section 77a, et seq., in connection with the same offering may be registered by coordination under this Code section. (b) A registration statement and accompanying records …

O.C.G.A. § 10-5-23 Registration by qualiﬁcation; additional information and records required; effective date

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(a) A security may be registered by qualiﬁcation under this Code section. (b) 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 re…

O.C.G.A. § 10-5-24 Filing of registration statement; conditions of registration; amendment

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(a) 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. (b) If a registration statement is withdrawn before the effective date or a pre-effective stop order is issued under Code…

O.C.G.A. § 10-5-25 Denying, suspending, or revoking the effectiveness of registration statement; publication of conduct constituting violations; notice and hearing

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(a) 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: (1) The registration statement as of its effective date or be…

O.C.G.A. § 10-5-26 Waiver or modiﬁcation of requirements by Commissioner

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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 pursuan…

O.C.G.A. § 10-5-5 Jorges v

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Griffin, 161 Ga. App. 439, 288 S.E.2d 356, 1982 Ga. App. LEXIS 1908 (1982) (decided under former O.C.G.A. § 10-5-5). Stock not exempt from registration. — Exemption under former Code 1933, § 97-109 did not apply since the stock was sold to an individual, not a corporation and the…

O.C.G.A. § 10-5-30 Registration requirements for broker-dealers; exemptions

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(a) 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. (b) The following person…

O.C.G.A. § 10-5-31 Registration requirements for agents; exemptions

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(a) 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. (b) The following individuals are exempt fr…

O.C.G.A. § 10-5-32 Registration requirements for investment advisors; exemptions

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(a) 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. (b) The follo…

O.C.G.A. § 10-5-33 Registration requirement for investment adviser representatives; exemptions

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(a) 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 …

O.C.G.A. § 10-5-34 Registration requirements for federal covered investment advisers

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(a) 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 investme…

O.C.G.A. § 10-5-35 Application for registration; consent to service of process

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(a) 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 …

O.C.G.A. § 10-5-36 Successors to registration; change of name, form of organization, and control

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(a) A broker-dealer or investment adviser may succeed to the current registration of another broker-dealer or investment adviser or a notice ﬁling of a federal covered investment adviser and a federal covered investment adviser may succeed to the current registration of an invest…

O.C.G.A. § 10-5-37 Notice of termination

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(a) If an agent registered under this chapter terminates employment by or association with a broker-dealer or issuer or if an investment adviser representative registered under this chapter terminates employment by or association with an investment adviser or federal covered inve…

O.C.G.A. § 10-5-38 Withdrawal of registration

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Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective 60 days after the ﬁling of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this chapter unle…

O.C.G.A. § 10-5-39 Fees

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(a) A person shall pay a fee of $250.00 when initially ﬁling an application for registration as a broker-dealer and a fee of $100.00 when ﬁling a renewal of registration as a broker-dealer. If the ﬁling results in a denial or withdrawal, the Commissioner shall retain the fee. (b)…

O.C.G.A. § 10-5-40 Financial requirements

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(a) Subject to Section 15(h) of the Securities Exchange Act of 1934, 15 U.S.C. Section 78o(h), or Section 222 of the Investment Advisers Act of 1940, 15 U.S.C. Section 80b-22, a rule adopted or order issued under this chapter may establish minimum ﬁnancial requirements for broker…

O.C.G.A. § 10-5-41 Denial of or placement of conditions or limitations on registration; civil penalties

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(a) If the Commissioner ﬁnds that the order is in the public interest and subsection (d) of this Code section authorizes the action, an order issued under this chapter may deny an application or may condition or limit registration: (1) Of an applicant to be a broker-dealer, agent…

O.C.G.A. § 10-5-14 Such defendant, however, may then assert the so-called “good faith” affirmative defense to “controlling person” liability

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Binder v. Gordian Sec., Inc., 742 F. Supp. 663, 1990 U.S. Dist. LEXIS 8915 (N.D. Ga. 1990) (decided under former O.C.G.A. § 10-5-14). Controlling officer estopped from asserting lack of responsibility. — In action seeking to impose liability under former subsection (c) of this se…

O.C.G.A. § 10-5-50 Unlawful practices with offer, sale, or purchase of security

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It is unlawful for a person, in connection with the offer, sale, or purchase of a security, directly or indirectly: (1) To employ a device, scheme, or artiﬁce to defraud; (2) To make an untrue statement of a material fact or to omit to state a material fact necessary in order to …

O.C.G.A. § 10-5-51 Fraud or deceit unlawful; adoption of rule

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(a) It is unlawful for a person that advises others for compensation, either directly or indirectly, or through publications or writings, as to the value of securities or the advisability of investing in, purchasing, or selling securities or that, for compensation and as part of …

O.C.G.A. § 10-5-52 Burden on person claiming exemption, preemption, or exclusion in civil and criminal proceedings

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(a) In a civil action or administrative proceeding under this chapter, a person claiming an exemption, exception, preemption, or exclusion has the burden to prove the applicability of the claim. (b) In a criminal proceeding under this chapter, a person claiming an exemption, exce…

O.C.G.A. § 10-5-53 Order or rule may require ﬁling of prospectus and additional information

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(a) Except as otherwise provided in subsection (b) of this Code section, a rule adopted or order issued under this chapter may require the ﬁling of a prospectus, pamphlet, circular, form letter, advertisement, sales literature, or other advertising record relating to a security o…

O.C.G.A. § 10-5-54 Unlawful to make false or misleading statements

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It is unlawful for a person to make or cause to be made, in a record that is used in an action or proceeding or ﬁled under this chapter, a statement that, at the time and in the light of the circumstances under which it is made, is false or misleading in a material respect, or, i…

O.C.G.A. § 10-5-55 Acceptance of ﬁlings not indicative of accuracy, merit, or qualiﬁcation

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The ﬁling of an application for registration, a registration statement, a notice ﬁling under this chapter, the registration of a person, the notice ﬁling by a person, or the registration of a security under this chapter does not constitute a ﬁnding by the Commissioner that a reco…

O.C.G.A. § 10-5-56 Liability for defamation related to information contained in record

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A broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative is not liable to another broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative for defamation relating…

O.C.G.A. § 10-5-57 Penalties for violations

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(a) A person that willfully violates this chapter, or a rule adopted or order issued under this chapter, except Code Section 10-5-53 or the notice ﬁling requirements of Code Section 10-5-21 or 10-5-34, or that willfully violates Code Section 10-5-54 knowing the statement made to …

O.C.G.A. § 10-5-58 Enforcement of civil liability; damages

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(a) Enforcement of civil liability under this Code section is subject to the Securities Litigation Uniform Standards Act of 1998, 112 Stat. 3227. (b) A person is liable to the purchaser if the person sells a security in violation of Code Section 10-5-20, or, by means of an untrue…

O.C.G.A. § 10-5-59 Exemptions to liability

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A purchaser, seller, or recipient of investment advice may not maintain an action under Code Section 10-5-58 if: (1) The purchaser, seller, or recipient of investment advice receives in a record, before the action is instituted: (A) An offer stating the respect in which liability…

O.C.G.A. § 10-5-70 Administration of chapter; Commissioner of Securities; authority

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(a) The administration of this chapter shall be vested in the Secretary of State, who is designated as the Commissioner of Securities. (b) The Commissioner shall have the authority to administer oaths in and to prescribe forms for all matters arising under this chapter. The Commi…

O.C.G.A. § 10-5-71 Powers of Commissioner

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(a) The Commissioner may: (1) Conduct public or private investigations inside or outside this state which the Commissioner considers necessary or appropriate to determine whether a person has violated, is violating, or is about to violate this chapter or a rule adopted or order i…

O.C.G.A. § 10-5-72 Violations; remedies and penalties

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(a) If the Commissioner believes that a person has engaged, is engaging, or is about to engage in an act, practice, or course of business constituting a violation of this chapter or a rule adopted or order issued under this chapter or that a person has, is, or is about to engage …

O.C.G.A. § 10-5-73 Cease and desist orders; denying, revoking, or conditioning exemptions for broker-dealers; civil penalties

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(a) If the Commissioner determines that a person has engaged, is engaging, or is about to engage in an act, practice, or course of business constituting a violation of this chapter or a rule adopted or order issued under this chapter or that a person has materially aided, is mate…

O.C.G.A. § 10-5-74 Issuance of forms and orders; adoption and amendment of rules

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(a) The Commissioner may: (1) Issue forms and orders and, after notice and comment, may adopt and amend rules necessary or appropriate to carry out this chapter and may repeal rules, including rules and forms governing registration statements, applications, notice ﬁlings, reports…

O.C.G.A. § 10-5-75 Register of applications for registration of securities; registration statements; notice ﬁlings; notices of claims; furnishing certain information to the public

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(a) The Commissioner shall maintain, or designate a person to maintain, a register of applications for registration of securities; registration statements; notice ﬁlings; applications for registration of broker-dealers, agents, investment advisers, and investment adviser represen…

O.C.G.A. § 10-5-76 Public records; exceptions

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(a) Except as otherwise provided in subsection (b) of this Code section, records obtained by the Commissioner or ﬁled under this chapter, including a record contained in or ﬁled with a registration statement, application, notice ﬁling, or report, are public records and are availa…

O.C.G.A. § 10-5-77 Intergovernmental cooperation, coordination, and consultation; sharing of records and information

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(a) The Commissioner shall, in his or her discretion, cooperate, coordinate, consult, and, subject to Code Section 10-5-76, share records and information with the securities administrator of another state, Canada, a Canadian province or territory, a foreign jurisdiction, the Secu…

O.C.G.A. § 10-5-79 Applicability of chapter to certain offers to purchase or sell

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(a) Code Sections 10-5-20 and 10-5-21, subsection (a) of Code Section 10-5-30, subsection (a) of Code Section 10-5-31, subsection (a) of Code Section 10-5-32, subsection (a) of Code Section 10-5-33, and Code Sections 10-5-42, 10-5-55, 10-5-58, and 10-5-59 do not apply to a person…

O.C.G.A. § 10-5-80 Consent to service of process

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(a) A consent to service of process complying with this Code section and required by this chapter must be signed and ﬁled in the form required by a rule or order under this chapter. A consent appointing the Commissioner the person’s agent for service of process in a noncriminal a…

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

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(a) The predecessor Act exclusively governs all actions or proceedings that are pending on July 1, 2009, or may be instituted on the basis of conduct occurring before July 1, 2009, but a civil action may not be maintained to enforce any liability under the predecessor Act unless …