reglab/housing_qa huggingface dataset:
GA Code § 10-5-36 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 4 - Registration of Broker-Dealers, Agents, and Investment Advisors|§ 10-5-36. Change of Name; Change of Control

  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 investment adviser or notice filing of another federal covered investment adviser by filing as a successor an application for registration pursuant to Code Section 10-5-30 or 10-5-32 or a notice pursuant to Code Section 10-5-34 for the unexpired portion of the current registration or notice filing.   A broker-dealer or investment adviser that changes its form of organization or state of incorporation or organization may continue its registration by filing an amendment to its registration if the change does not involve a material change in its financial condition or management. The amendment becomes effective when filed or on a date designated by the registrant in its filing. The new organization is a successor to the original registrant for the purposes of this chapter. If there is a material change in financial condition or management, the broker-dealer or investment adviser shall file a new application for registration. A predecessor registered under this chapter shall stop conducting its securities business other than winding down transactions and shall file for withdrawal of broker-dealer or investment adviser registration within 45 days after filing its amendment to effect succession.   A broker-dealer or investment adviser that changes its name may continue its registration by filing an amendment to its registration. The amendment becomes effective when filed or on a date designated by the registrant.   A change of control of a broker-dealer or investment adviser may be made in accordance with a rule adopted or order issued under this chapter.     (Code 1981, §10-5-36, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)
GA Code § 10-5-38 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 4 - Registration of Broker-Dealers, Agents, and Investment Advisors|§ 10-5-38. Withdrawal of Registration

 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 unless a revocation or suspension proceeding is pending when the application is filed. If a proceeding is pending, withdrawal becomes effective when and upon such conditions as required by rule adopted or order issued under this chapter. The Commissioner may institute a revocation or suspension proceeding under Code Section 10-5-41 within one year after the withdrawal became effective automatically and issue a revocation or suspension order as of the last date on which registration was effective if a proceeding is not pending.    (Code 1981, §10-5-38, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)
GA Code § 10-5-39 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 4 - Registration of Broker-Dealers, Agents, and Investment Advisors|§ 10-5-39. Fees

  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.   The fee for an individual is $50.00 when filing an application for registration as an agent, $40.00 when filing a renewal of registration as an agent, and $30.00 when filing for a change of registration as an agent. If the filing results in a denial or withdrawal, the Commissioner shall retain the fee.   A person shall pay a fee of $250.00 when filing an application for registration as an investment adviser and a fee of $100.00 when filing a renewal of registration as an investment adviser. If the filing results in a denial or withdrawal, the Commissioner shall retain the fee.   The fee for an individual is $250.00 when filing an application for registration as an investment adviser representative, a fee of $100.00 when filing a renewal of registration as an investment adviser representative, and a fee of $50.00 when filing a change of registration as an investment adviser representative. If the filing results in a denial or withdrawal, the Commissioner shall retain the fee.   A federal covered investment adviser required to file a notice under Code Section 10-5-34 shall pay an initial fee of $250.00 and an annual notice fee of $100.00.   A person required to pay a filing or notice fee under this Code section may transmit the fee through or to a designee as a rule adopted or order issued provides under this chapter.   An investment adviser representative who is registered as an agent under Code Section 10-5-31 and who represents a person that is both registered as a broker-dealer under Code Section 10-5-30 and registered as an investment adviser under Code Section 10-5-32 or required as a federal covered investment adviser to make a notice filing under Code Section 10-5-34 is not required to pay an initial or annual registration fee for registration as an investment adviser representative.     (Code 1981, §10-5-39, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)
GA Code § 10-5-50 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 5 - Violations, Penalties, and Civil Liability|§ 10-5-50. Unlawful Practices With Offer, Sale, or Purchase of Security

 It is unlawful for a person, in connection with the offer, sale, or purchase of a security, directly or indirectly:    To employ a device, scheme, or artifice to defraud;   To make an untrue statement of a material fact or to omit to state a material fact necessary in order to make the statement made, in the light of the circumstances under which it is made, not misleading; or   To engage in an act, practice, or course of business that operates or would operate as a fraud or deceit upon another person.     (Code 1981, §10-5-50, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)
GA Code § 10-5-52 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 5 - Violations, Penalties, and Civil Liability|§ 10-5-52. Civil and Criminal Proceedings

  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.   In a criminal proceeding under this chapter, a person claiming an exemption, exception, preemption, or exclusion has the burden of going forward with evidence of the claim.     (Code 1981, §10-5-52, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)   Law reviews.   - For article, "The Georgia Uniform Securities Act of 2008: An Analysis of Significant Changes to Georgia's Blue Sky Law," see 14 (No. 6) Ga. St. B. J. 18 (2009).
GA Code § 10-5-53 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 5 - Violations, Penalties, and Civil Liability|§ 10-5-53. Order or Rule May Require Filing of Prospectus and Additional Information

  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 or investment advice, addressed or intended for distribution to prospective investors, including clients or prospective clients of a person registered or required to be registered as an investment adviser under this chapter.   This Code section does not apply to sales and advertising literature specified in subsection (a) of this Code section which relates to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by Code Sections 10-5-10 through 10-5-12, except as required pursuant to paragraph (7) of Code Section 10-5-10.     (Code 1981, §10-5-53, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)
GA Code § 10-5-54 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 5 - Violations, Penalties, and Civil Liability|§ 10-5-54. Unlawful to Make False or Misleading Statements

 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, in connection with the statement, to omit to state a material fact necessary to make the statement made, in the light of the circumstances under which it was made, not false or misleading.    (Code 1981, §10-5-54, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)
GA Code § 10-5-55 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 5 - Violations, Penalties, and Civil Liability|§ 10-5-55. Filing Under This Chapter Does Not Constitute a Finding by Commissioner That Records Are Accurate or Upon the Merits or Qualifications of Any Person

 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 record filed under this chapter is true, complete, and not misleading. The filing or registration or the availability of an exemption, exception, preemption, or exclusion for a security or a transaction does not mean that the Commissioner has passed upon the merits or qualifications of, or recommended or given approval to, a person, security, or transaction. It is unlawful to make, or cause to be made, to a purchaser, customer, client, or prospective customer or client a representation inconsistent with this Code section.    (Code 1981, §10-5-55, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)
GA Code § 10-5-56 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 5 - Violations, Penalties, and Civil Liability|§ 10-5-56. Liability for Defamation Related to Information Contained in Record

 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 to a statement that is contained in a record required by the Commissioner, or a designee of the Commissioner, the Securities and Exchange Commission, or a self-regulatory organization, unless the person knew that it was false in a material respect or the person acted in reckless disregard of the statement's truth or falsity.    (Code 1981, §10-5-56, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)
GA Code § 10-5-57 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 5 - Violations, Penalties, and Civil Liability|§ 10-5-57. Penalties for Violations

  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 be false or misleading in a material respect, upon conviction, shall be fined not more than $500,000.00 or imprisoned not more than five years, or both. An individual convicted of violating a rule adopted or order issued under this chapter may be fined but may not be imprisoned if the individual did not have knowledge of the rule or order.   The Attorney General or the proper prosecuting attorney with or without a reference from the Commissioner may institute criminal proceedings under this chapter.   This chapter does not limit the power of this state to punish a person for conduct that constitutes a crime under other laws of this state.     (Code 1981, §10-5-57, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)   RESEARCH REFERENCES   C.J.S.   - 79A C.J.S., Securities Regulation and Commodity Futures Trading Regulation, § 573 et seq.
GA Code § 10-5-72 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 6 - Administration|§ 10-5-72. Violations; Remedies and Penalties

  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 in an act, practice, or course of business that materially aids a violation of this chapter or a rule adopted or order issued under this chapter, the Commissioner may maintain an action in the superior court to enjoin the act, practice, or course of business and to enforce compliance with this chapter or a rule adopted or order issued under this chapter.   In an action under this Code section and on a proper showing, the court may:   Issue a permanent or temporary injunction, restraining order, or declaratory judgment;   Order other appropriate or ancillary relief, which may include:   An asset freeze, accounting, writ of attachment, writ of general or specific execution, and appointment of a receiver or conservator, that may be the Commissioner, for the defendant or the defendant's assets;   Ordering the Commissioner to take charge and control of a defendant's property, including investment accounts and accounts in a depository institution, rents, and profits; to collect debts; and to acquire and dispose of property;   Imposing a civil penalty up to $50,000.00 for a single violation or up to $500,000.00 for more than one violation; an order of rescission, restitution, or disgorgement directed to a person that has engaged in an act, practice, or course of business constituting a violation of this chapter or the predecessor Act or a rule adopted or order issued under this chapter or the predecessor Act; and   Ordering the payment of prejudgment and postjudgment interest; or     Order such other relief as the court considers appropriate.     The Commissioner may not be required to post a bond in an action or proceeding under this chapter.     (Code 1981, §10-5-72, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)   Code Commission notes.   - Pursuant to Code Section 28-9-5, in 2008, this Code section, which was enacted as Code Section 10-5-67, was redesignated as Code Section 10-5-72.
GA Code § 10-5-74 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 6 - Administration|§ 10-5-74. Issuance of Forms and Orders; Adoption and Amendment of Rules

  The Commissioner may:   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, and other records;   By rule, define terms, whether or not used in this chapter, but those definitions may not be inconsistent with this chapter; and   By rule, classify securities, persons, and transactions and adopt different requirements for different classes.     Under this chapter, a rule or form may not be adopted or amended or an order issued or amended unless the Commissioner finds that the rule, form, order, or amendment is necessary or appropriate in the public interest or for the protection of investors and is consistent with the purposes intended by this chapter. In adopting, amending, and repealing rules and forms, Code Section 10-5-77 applies in order to achieve uniformity among the states and coordination with federal laws in the form and content of registration statements, applications, reports, and other records, including the adoption of uniform rules, forms, and procedures.   Subject to Section 15(h) of the Securities Exchange Act of 1934, 15 U.S.C. Section 78a, et seq., and Section 222 of the Investment Advisers Act of 1940, 15 U.S.C. Section 80b-1, et seq., the Commissioner may require that a financial statement filed under this chapter be prepared in accordance with generally accepted accounting principles in the United States and comply with other requirements specified by rule adopted or order issued under this chapter. A rule adopted or order issued under this chapter may establish:   Subject to Section 15(h) of the Securities Exchange Act of 1934, 15 U.S.C. Section 78a, et seq., and Section 222 of the Investment Advisors Act of 1940, 15 U.S.C. Section 80b-1, et seq., the form and content of financial statements required under this chapter;   Whether unconsolidated financial statements must be filed; and   Whether required financial statements must be audited by an independent certified public accountant.     The Commissioner may provide interpretative opinions or issue determinations that the Commissioner will not institute a proceeding or an action under this chapter against a specified person for engaging in a specified act, practice, or course of business if the determination is consistent with this chapter. A rule adopted or order issued under this chapter may establish a reasonable charge for interpretative opinions or determinations that the Commissioner will not institute an action or a proceeding under this chapter.   A hearing in an administrative proceeding under this chapter shall be conducted in public unless the Commissioner for good cause consistent with this chapter determines that the hearing shall not be so conducted.     (Code 1981, §10-5-74, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)
GA Code § 10-5-75 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 6 - Administration|§ 10-5-75. Register of Applications for Registration of Securities; Registration Statements; Notice Filings; Notices of Claims; Furnishing Certain Information to the Public

  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 representatives; notice filings by federal covered investment advisers that are or have been effective under this chapter or the predecessor Act; notices of claims of exemption from registration or notice filing requirements contained in a record; orders issued under this chapter or the predecessor Act; and interpretative opinions or no action determinations issued under this chapter.   The Commissioner shall make all rules, forms, interpretative opinions, and orders available to the public.   The Commissioner shall furnish a copy of a record that is a public record or a certification that the public record does not exist to a person that so requests. A rule adopted under this chapter may establish a reasonable charge for furnishing the record or certification. A copy of the record certified or a certificate by the Commissioner of a record's nonexistence is prima-facie evidence of a record or its nonexistence.     (Code 1981, §10-5-75, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)
GA Code § 10-5-76 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 6 - Administration|§ 10-5-76. Public Records; Exceptions

  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 available for public examination.   The following information and documents do not constitute public information under subsection (a) of this Code section and shall be confidential:   Information or documents obtained by the Commissioner in connection with an investigation under Code Section 10-5-71;   Information or documents filed with the Commissioner in connection with a registration statement or exemption filing under this chapter which constitute trade secrets or commercial or financial information of a person for which that person is entitled to and has asserted a claim of confidentiality or privilege authorized by law;   Any document or record specifically designated as confidential in accordance with this chapter; and   Any document, record, or information designated as confidential by federal statute, rule, or regulation.       (Code 1981, §10-5-76, enacted by Ga. L. 2008, p. 381, § 1/SB 358; Ga. L. 2011, p. 752, § 10/HB 142.)
GA Code § 10-5-77 (2021)
2021 Georgia Code|Title 10 - Commerce and Trade|Chapter 5 - Georgia Uniform Securities|Article 6 - Administration|§ 10-5-77. Intergovernmental Cooperation, Coordination, and Consultation; Sharing of Records and Information

  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 Securities and Exchange Commission, the United States Department of Justice, the Commodity Futures Trading Commission, the Federal Trade Commission, the Securities Investor Protection Corporation, a self-regulatory organization, a national or international organization of securities administrators, a federal or state banking or insurance regulator, or a governmental law enforcement agency to effectuate greater uniformity in securities matters among the federal government, self-regulatory organizations, states, and foreign governments.   In cooperating, coordinating, consulting, and sharing records and information under this Code section and in acting by rule, order, or waiver under this chapter, the Commissioner shall, in his or her discretion, take into consideration in carrying out the public interest the following general policies:   Maximizing effectiveness of regulation for the protection of investors;   Maximizing uniformity in federal and state regulatory standards; and   Minimizing burdens on the business of capital formation, without adversely affecting essentials of investor protection.     The cooperation, coordination, consultation, and sharing of records and information authorized by this Code section includes:   Establishing or employing one or more designees as a central depository for registration and notice filings under this chapter and for records required or allowed to be maintained under this chapter;   Developing and maintaining uniform forms;   Conducting a joint examination or investigation;   Holding a joint administrative hearing;   Instituting and prosecuting a joint civil or administrative proceeding;   Sharing and exchanging personnel;   Coordinating registrations under Code Sections 10-5-20 and Code Section 10-5-30 through 10-5-33 and exemptions under Code Section 10-5-12;   Sharing and exchanging records, subject to Code Section 10-5-76;   Formulating rules, statements of policy, guidelines, forms, and interpretative opinions and releases;   Formulating common systems and procedures;   Notifying the public of proposed rules, forms, statements of policy, and guidelines;   Attending conferences and other meetings among securities administrators, which may include representatives of governmental and private sector organizations involved in capital formation, deemed necessary or appropriate to promote or achieve uniformity; and   Developing and maintaining a uniform exemption from registration for small issuers and taking other steps to reduce the burden of raising investment capital by small businesses.       (Code 1981, §10-5-77, enacted by Ga. L. 2008, p. 381, § 1/SB 358.)