reglab/statecodes huggingface dataset:
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.14 - Motions

Current through Rules and Regulations filed through June 27, 2024
(1) An application
				to the Hearing Officer for an order requiring any party to take any action or
				for the entry of any interlocutory ruling shall be made by motion. Unless made
				during the hearing, motions shall be in writing, shall state specifically the
				grounds therefore and shall describe the action or order sought. A copy of any
				written motion shall be served upon all parties.
(2) Within ten (10) days after service of any
				written motion, any party to the proceedings may file a response to the motion.
				The time for response may be shortened or extended by the Hearing Officer for
				good cause shown. Any party desiring resolution of a motion prior to the
				expiration of the ten (10) day response period shall file a written request for
				expedited consideration with the motion.
(3) Unless otherwise provided by the Hearing
				Officer, the Act, or the Rules relating to a specific type of motion, all
				motions shall be filed at least ten (10) days prior to the date set for hearing
				unless the need or opportunity for the motion could not reasonably have been
				foreseen ten (10) days prior to said date in which case the motion shall be
				filed or presented as soon as possible after the need or opportunity for the
				motion becomes reasonably foreseeable.
(4) All motions and responses shall include,
				or be accompanied by, citations of supporting authorities, and, when a motion
				depends upon factual allegations, supporting affidavits or citations to
				evidentiary materials of record.
(5) The Hearing Officer may, either upon the
				Hearing Officer's own initiative or at the request of any party, determine
				whether the nature and complexity of the motion justifies a hearing on the
				motion and notify the parties accordingly. A request for a hearing on a motion
				must be made in writing and filed by the date the response to the motion is to
				be filed. The Hearing Officer shall give notice of a hearing on a motion at
				least five (5) days prior to the date set for the hearing. At the discretion of
				the Hearing Officer, such hearings may be conducted, in whole or in part, via
				telephonic conference. If a hearing on a motion is not requested or deemed
				justified, the Hearing Officer shall rule upon the motion forthwith.
(6) Multiple motions may be consolidated for
				hearing or heard at a prehearing conference. The Hearing Officer may request
				submission of briefs, oral argument, or both, either in support of, or in
				opposition to, any motion.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.15 - Withdrawal of Request for Hearing; Settlement

Current through Rules and Regulations filed through June 27, 2024
(1) The party requesting the hearing may
				withdraw a request for hearing at any time, whereupon the Hearing Officer may
				enter an order dismissing the matter.
(2) The parties may, at any time, present to
				the Hearing Officer, a proposed settlement proposal. Upon receipt of such a
				proposal, the Hearing Officer may accept or reject such proposal.
(3) Nothing herein shall preclude the
				Commissioner from resolving, in his or her sole discretion, any contested case
				by consent order or other appropriate action.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74,   50-13-13..
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.18 - Depositions and Written Questions to Secure Testimony

Current through Rules and Regulations filed through June 27, 2024
(1) Any time during
				the course of a proceeding, the Hearing Officer may, in the Hearing Officer's
				discretion, order that the testimony of a witness be taken by deposition or on
				written questions. Application to take a deposition in lieu of personal
				appearance at the hearing shall be made by motion filed with the Clerk and
				served upon all parties. Such motion shall state the name and address of the
				witness, the time when, the place where, and the subject matter about which the
				witness would be deposed, the relevance of such testimony, and the specific
				reason why the witness cannot, or will not, appear to testify at the
				hearing.
(2) In the exercise of the
				Hearing Officer's discretion in deciding whether to order testimony by
				deposition, the Hearing Officer may consider, among other factors:
(a) Whether requiring the appearance of a
				witness subject to subpoena would endanger the witness's health or work an
				undue hardship;
(b) Whether a
				showing has been made that a non-resident potential witness, who is not subject
				to subpoena in this State and is willing to appear voluntarily to be deposed in
				the jurisdiction of the witness's residence, would be subject to being
				compelled to appear and be deposed under any law in the jurisdiction of the
				witness's residence (e.g., a Uniform Foreign Depositions Act); or
(c) Whether ordering the taking of testimony
				by deposition will result in an undue burden on any other party, an undue delay
				in the proceeding, or any injury to other parties from the delay.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.19 - Nature of Proceedings

Current through Rules and Regulations filed through June 27, 2024
(1) In any hearing conducted under the Act
				and these Rules, the Hearing Officer shall make an independent determination on
				the basis of the competent evidence presented at the hearing.
(2) Unless otherwise provided by federal or
				state statute or rule, the standard of proof on all issues in a hearing shall
				be a preponderance of the evidence.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.20 - Hearing Procedure

Current through Rules and Regulations filed through June 27, 2024
(1) The Hearing Officer shall conduct a fair
				and impartial hearing, take action to avoid unnecessary delay in the
				disposition of the proceedings, and maintain order. For these purposes, the
				Hearing Officer may:
(a) Arrange for, and
				issue, notices of the date, time, and place of hearings and
				conferences;
(b) Establish the
				methods and procedures to be used in the development of the evidence;
(c) Hold conferences to settle, simplify,
				determine, or strike any of the issues in a hearing, or to consider other
				matters that may facilitate the expeditious disposition of the
				hearing;
(d) Administer oaths and
				affirmations;
(e) Regulate the
				course of the hearing and govern the conduct of the participants;
(f) Examine witnesses called by the
				parties;
(g) Rule on, admit,
				exclude, or limit evidence;
(h)
				Establish the time for filing motions, testimony, and other written evidence,
				exhibits, briefs, proposed findings of fact and conclusions of law, and other
				submissions;
(i) Rule on motions
				and other procedural matters before the Hearing Officer, including, but not
				limited to, motions to dismiss for lack of jurisdiction or motions for summary
				determination;
(j) Order that the
				hearing be conducted in stages;
(k)
				Allow cross-examination;
(l) Order
				that any information so entitled under applicable state or federal rule or
				statute be treated as confidential or privileged information and be accorded
				the degree of confidentiality required thereby;
(m) Reprimand, or exclude from the hearing,
				any person for any indecorous or improper conduct committed in the Hearing
				Officer's presence;
(n) Subpoena
				and examine any witnesses or evidence the Hearing Officer believes necessary
				for a full and complete record; and
(o) Take any action not inconsistent with the
				Act and these Rules or the APA for the maintenance of order at the hearing and
				for the expeditious, fair, and impartial conduct of the proceeding.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.21 - Record of Hearings

Current through Rules and Regulations filed through June 27, 2024
(1) All intermediate rulings, orders, and
				notices issued by the Hearing Officer, all pleadings and motions, all
				recordings or transcripts of oral hearings or arguments, all written direct and
				rebuttal testimony, any other data, studies, reports, documentation,
				information and other written material of any kind submitted in the
				proceedings, a statement of matters officially noticed, all proposed findings,
				conclusions, and briefs and a Final Order of the Hearing Officer shall be a
				part of the hearing record and shall be available to the public, except as
				provided in any applicable federal or state statute or rule according
				confidentiality or privileged treatment, in the office of the Clerk as soon as
				received in that office.
(2)
				Evidentiary hearings shall be either stenographically reported verbatim or tape
				recorded. Upon written request, a transcript of any oral proceeding, or part
				thereof, shall be furnished to any party at the requesting party's
				expense.
(3) All documentary and
				physical evidence shall be retained by the Clerk.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74,   50-13-13,   50-13-17.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.22 - Proposed Findings of Fact, Conclusions of Law, and Briefs

Current through Rules and Regulations filed through June 27, 2024
At the conclusion of the hearing, the Hearing Officer may
				 require the parties to submit proposed findings, conclusions, and briefs in
				 support thereof. If required, the Hearing Officer shall specify the date by
				 which the findings, conclusions, and briefs in support shall be filed with the
				 Clerk and served on all parties. Reply briefs may be allowed in the sole
				 discretion of the Hearing Officer.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.23 - Newly Discovered Evidence

Current through Rules and Regulations filed through June 27, 2024
Prior to the entry of the Hearing Officer's final order, any
				 party may move the Hearing Officer for an order allowing the introduction of
				 additional, newly discovered evidence that was not discoverable in the exercise
				 of reasonable diligence at the time of the hearing. If the Hearing Officer
				 determines that such evidence is proper newly discovered evidence that may
				 materially impact the decision to be rendered, the Hearing Officer shall hear
				 and receive such evidence in the manner prescribed for the receipt of evidence
				 by these Rules.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.24 - Closure of Hearing Record

Current through Rules and Regulations filed through June 27, 2024
Except as provided in this Rule or unless otherwise ordered
				 by the Hearing Officer, the record shall be closed at the conclusion of the
				 evidentiary hearing. If the Hearing Officer requests the preparation of a
				 transcript or requires or authorizes the filing of proposed findings of fact,
				 conclusions of law, or post-hearing briefs, the record shall be deemed closed
				 upon the receipt by the Clerk of the transcript or upon the expiration of the
				 time allowed for the required or authorized filings, whichever date comes
				 later.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.25 - Final Order of the Hearing Officer

Current through Rules and Regulations filed through June 27, 2024
The Hearing Officer shall review and evaluate all the
				 evidence and any interlocutory rulings, and shall either rule orally from the
				 bench, stating findings of fact, conclusions of law, and a decision or order in
				 the record, or may issue and file written findings, conclusions, and a decision
				 or order with the Clerk, who shall immediately serve copies upon all parties or
				 their counsel of record. The Hearing Officer shall render his or her final
				 order within the time provided by applicable state or federal statute or rule
				 or, in any event, within thirty (30) days after the close of the record unless
				 the Hearing Officer determines that the complexity of the issues or the length
				 of the record require an order extending such period, in which event the
				 Hearing Officer shall render a decision or final order at the earliest date
				 practicable.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74,   50-13-17.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.26 - Motions for Reconsideration or Rehearing; Stay of Decision

Current through Rules and Regulations filed through June 27, 2024
(1) A motion for
				reconsideration or rehearing of a decision or final order will be considered
				only if the motion is filed within ten (10) days of the entry of the decision
				or final order. However, the time for filing such a motion may be extended by
				the Hearing Officer for good cause.
(2) The filing of such a motion shall not
				operate as a stay of enforcement of the Hearing Officer's decision or final
				order. But, the Hearing Officer may grant a stay upon appropriate terms, for
				good cause shown, if the Hearing Officer finds that the public safety and
				welfare will not be harmed by the issuance of a stay.
(3) The Hearing Officer shall not grant a
				motion for rehearing until after the expiration of the period for a response by
				any other party.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.27 - Default

Current through Rules and Regulations filed through June 27, 2024
(1) If a party
				fails to participate in any stage of a proceeding, fails to file any pleading
				required by the Hearing Officer under the Act or these Rules or any other
				applicable law or agency rule, or fails to comply with an order or subpoena
				issued by the Hearing Officer, the Hearing Officer, either on the Hearing
				Officer's own motion or on the motion of any party, may enter an order
				resulting in default against the offending party. Any such order shall specify
				the grounds for the order.
(2) Any
				default order may provide for a default as to all issues, a default as to
				specific issues, or other limitations, including limitations on the
				presentation of evidence and on the defaulting party's continued participation
				in the proceeding. In determining whether to enter a default and in considering
				the appropriate penalty for a default, the Hearing Officer shall give due
				regard for the interests of justice, the nature of the failure of the party in
				default, and the need for the orderly and prompt conduct of the
				proceeding.
(3) Within ten (10)
				days of the entry of a default order, the party against whom it was issued may
				file a written motion requesting that the order be vacated or modified and
				stating the grounds for said motion. The Hearing Officer may allow a default to
				be opened where the failure of the party in default was the result of
				providential cause or excusable neglect or where the Hearing Officer, from all
				the facts, determines that a proper case has been made for the default to be
				opened on terms to be fixed by the Hearing Officer.
(4) After issuing a default order, the
				Hearing Officer shall conduct any further proceedings necessary to complete the
				proceeding without the participation of the party in default, or with such
				limited participation as determined appropriate under paragraph (2) of this
				Rule, and shall determine all issues in the proceeding, including those
				affecting the party in default.
(5)
				If a party fails to attend an evidentiary hearing after having been given
				written notice thereof, the Hearing Officer may proceed with the hearing in the
				absence of the party unless the absent party is the party who requested the
				hearing, in which case, the Hearing Officer may dismiss the action on the
				motion of any other party or on the Hearing Officer's own motion. Failure of a
				party to appear at the time set for hearing shall constitute a failure to
				attend unless excused by the Hearing Officer for good cause.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74,   50-13-13.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.28 - Expedited Proceedings

Current through Rules and Regulations filed through June 27, 2024
Whenever any hearing is required by law to be held pursuant
				 to an expedited hearing schedule inconsistent with these Rules, or whenever the
				 Hearing Officer, either on motion of any party or on the Hearing Officer's own
				 motion, determines that an expedited hearing schedule is necessary to protect
				 the interests of the parties or the public safety or welfare, the Hearing
				 Officer shall require expedited filing of pleadings and shall conduct the
				 hearing in such manner as justice requires.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.29 - Appearance by Attorneys; Signing of Pleadings; Apperance Pro-Se

Current through Rules and Regulations filed through June 27, 2024
(1) Except as
				authorized in paragraph (2) of this Rule, or where specifically authorized by
				an applicable federal or Georgia statute or rule, no person shall represent any
				party in a proceeding before the Hearing Officer unless the person is an active
				member in good standing of the State Bar of Georgia and has filed an entry of
				appearance in the case in the attorney's individual name. An entry of
				appearance shall not be required if a pleading, motion, or other paper has
				previously been filed on the case by the attorney of record pursuant to
				paragraph (3) of this Rule.
(2)
				Nonresident attorneys who are not active members of the State Bar of Georgia
				may be permitted to appear before the Hearing Officer in isolated cases upon
				motion to, and in the discretion of, the Hearing Officer. A motion to appear in
				a particular case shall state that the movant is an active member in good
				standing of the bar of the jurisdiction in which the movant regularly practices
				and that the movant agrees to behave in accordance with the Georgia standards
				of professional conduct and the duties imposed upon attorneys by Code Section
				 15-19-4.
(3) Every pleading, motion, or other paper of
				a party represented by an attorney shall be signed by at least one attorney of
				record in the attorney's individual name, whose address shall be stated. A
				party who is not represented by an attorney shall sign the party's pleadings
				and state the party's address. The signature of an attorney constitutes a
				certificate by the attorney that the attorney has read the pleading and that it
				is not interposed for any improper purpose, including, but not limited to,
				delay or harassment. If a pleading, motion, or other paper is signed in
				violation of this Rule, the Hearing Officer, upon motion of any party or upon
				the Hearing Officer's own motion, shall impose upon the person who signed it, a
				represented party, or both, an appropriate sanction, including, but not limited
				to, dismissal.
(4) Any individual
				party may appear at any proceeding under the Act pro se, on his or her own
				behalf, without representation by an attorney. Any party that is a legal entity
				may appear only through an attorney who is an active member in good standing of
				the State Bar of Georgia or authorized to appear pursuant to paragraph (2) of
				this Rule.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.30 - Involuntary Dismissal

Current through Rules and Regulations filed through June 27, 2024
After a party with the burden of proof has completed the
				 presentation of his, her, or its evidence, any other party, without waiving
				 his, her, or its right to offer evidence in the event the motion is not
				 granted, may move for dismissal on the ground that the party that has presented
				 his, her, or its evidence has failed to carry his, her, or its burden to
				 demonstrate his, her, or its right to some or all of the determinations sought
				 by that party. The Hearing Officer may then determine the facts and render a
				 Decision against the party that has presented its evidence as to any or all
				 issues or may decline to render a decision until after the close of all the
				 evidence.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.31 - Discovery

Current through Rules and Regulations filed through June 27, 2024
Discovery shall not be available in any proceeding before a
				 Hearing Officer except to the extent specifically authorized by a statute or
				 rule. Nothing in this Rule is intended to limit the provisions of Article 4 of
				 Chapter 18 of Title 50.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.32 - Continuances and Conflicts

Current through Rules and Regulations filed through June 27, 2024
(1) All motions for continuances shall be
				granted only upon a showing of good cause and shall not be granted simply
				because the parties and/or their counsel agree thereto. Among other factors the
				Hearing Officer may consider in connection with a motion for continuance are
				the impact of the continuance upon any parties who do not consent to the
				motion, the Hearing Officer's calendar, the difficulty in rescheduling the
				hearing site, the need for an expeditious resolution of the matter(s) at issue,
				and the public safety and welfare. A notice of conflict filed pursuant to
				paragraph (2) below shall not be considered as a motion for a continuance
				unless the notice expressly requests a continuance.
(2) In the event an attorney has a conflict
				involving an appearance in another legal proceeding, the requirements of the
				Uniform Rules for the Superior Courts shall be followed.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.33 - Withdrawals and Leaves of Absence

Current through Rules and Regulations filed through June 27, 2024
The withdrawal and leave of absence provisions of the Uniform
				 Rules for the Superior Courts shall be followed.
O.C.G.A. Secs.
				  10-5-10,   10-5-16,   10-5-70,   10-5-71,   10-5-73,   10-5-74.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS › Rule 590-4-6-.34 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-10,   10-5-16.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-7 - REPEALED › Rule 590-4-7-.01 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-10,   44-3-3,   44-3-6.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-7 - REPEALED › Rule 590-4-7-.02 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.01 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.02 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10,   10-5-23.1.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.03 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10,   10-5-23.1.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.04 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.05 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-4,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.06 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.07 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.08 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-2,   10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.09 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-2,   10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.10 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.11 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-2,   10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.12 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-2,   10-5-3,   10-5-10,   10-5-12.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.13 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-10,   10-5-12.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.14 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-4,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.15 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-4,   10-5-10,   10-5-12.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.16 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-10,   10-5-12.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.17 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-10,   10-5-12.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.18 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10,   10-5-12.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.19 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10,   10-5-23.1.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.20 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.21 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Sec.
				  10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.22 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.23 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.24 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-8 - REPEALED › Rule 590-4-8-.25 - Repealed

Current through Rules and Regulations filed through June 27, 2024
O.C.G.A. Secs.
				  10-5-2,   10-5-3,   10-5-10.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-9 - COMMODITIES › Rule 590-4-9-.01 - Definitions

Current through Rules and Regulations filed through June 27, 2024
(1) As used herein,
				all citations to "the Act" or "Act" shall refer to the Georgia law regulating
				commodity contracts and options as set forth in Chapter 5A of Title 10 of the
				Official Code of Georgia Annotated, Code Section
				 10-5A-1
et
				seq.
(2) As used herein,
				all references to "the Commissioner" or "Commissioner" mean the Commissioner of
				Securities of this State.
(3) As
				used herein, all references to "the Assistant Commissioner" or "Assistant
				Commissioner" mean the Assistant Commissioner of Securities of this
				State.
(4) As used herein,
				"commodity" shall include wheat, cotton, rice, corn, oats, barley, rye,
				flaxseed, grain sorghums, mill feed, butter, eggs, solanum taberosun (Irish
				potatoes), wool, wool tops, fats and oils (including lard, tallow, cottonseed
				oil, peanut oil, soybean oil and all other fats and oils), cottonseed meal,
				cottonseed peanuts, soybeans, soybean meal, livestock, livestock products, and
				frozen concentrated orange juice, and all other goods and articles, and all
				other services, rights, and interests in which contracts for future delivery
				are presently or in the future dealt in.
(5) As used herein, a "commodity contract"
				shall mean a contract for the purchase or sale of a commodity option or
				commodity for future delivery on, or subject to the rules of, a contract market
				or board of trade.
(6) As used
				herein,"commodity options dealer" shall mean a person that extends credit to,
				or that accepts cash, a security, or other property form, a customer of such
				person for the purchase or sale of an interest in a commodity option.
(7) As used herein,"commodity pool operator"
				shall mean any person engaged in a business which is of the nature of an
				investment trust, syndicate, or similar form of enterprise, and who, in
				connection therewith, solicits, accepts, or receives from others, funds,
				securities, or property, either directly or through capital contributions, the
				sale of stock or other forms of securities, or otherwise, for the purpose of
				trading in any commodity for delivery or commodity option on or subject to the
				rules of any contract market, but does not include such persons not within the
				intent of this definition or the Commissioner may specify by rule, regulation,
				or order.
O.C.G.A. Sec.
				  10-5A-26.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-9 - COMMODITIES › Rule 590-4-9-.02 - Jurisdiction

Current through Rules and Regulations filed through June 27, 2024
(1) In accordance
				with the limitations, exclusions and conditions imposed by the Act, the
				Commissioner shall have jurisdiction with respect to accounts, agreements
				(including any transaction that is of the character of, or a commodity known to
				the trade as an "option," "privilege," "indemnity," "bid," "offer," "put,"
				"call," "advance guaranty," or "decline guaranty"), and transactions involving
				contracts of sale of a commodity for future delivery, traded or executed on a
				contract market designated by the Commissioner or any other board of trade,
				exchange, or market, and transactions subject to regulation by the Commodity
				Futures Trading Commission pursuant to
				 7 U.S.C. §
										23.
(2) To the extent that a commodity pool
				arrangement presents a security, such commodity pool and commodity pool
				operator shall be subject to the provisions of the Georgia Securities Act of
				1973, as amended. (Code Section
				 10-5-1
et
				seq.
)
(3) Except as
				hereinabove provided, nothing contained in the Act shall supersede or limit the
				jurisdiction of the Commissioner under the Georgia Securities Act of 1973, as
				amended.
O.C.G.A. Sec.
				  10-5A-8.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-9 - COMMODITIES › Rule 590-4-9-.03 - Delegation to Assistant Commissioner

Current through Rules and Regulations filed through June 27, 2024
The Assistant Commissioner of Securities appointed by the
				 Secretary of State, with the approval of the Governor, pursuant to Code Section
				 10-5A-10, is empowered to sign all documents, make all decisions and perform
				 all acts under Code Section
				  10-5A-1
et
				 seq.
as is the Commissioner of Securities. This power is to be
				 exercised by the Assistant Commissioner of Securitiesconcurrently with the
				 Commissioner of Securities and all acts of the Assistant Commissioner of
				 Securities are of the same force and effect assuch acts would be if performed
				 by the Commissioner of Securities.
O.C.G.A. Sec.
				  10-5A-24.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-9 - COMMODITIES › Rule 590-4-9-.04 - Administrative Declaratory Rulings; No-Action Letters; Informal Interpretations; Fees

Current through Rules and Regulations filed through June 27, 2024
(1) Administrative declaratory rulings,
				no-action letters and informal interpretations shall be in accordance with Code
				Section
				 10-5-1
et
				seq.
and Rules and Regulations of the State of Georgia Chapter
				590-4.
(2) The Commissioner may
				establish and charge fees for the issuance of any declaratory ruling, no-action
				letter, or informal interpretation.
O.C.G.A. Sec.
				  10-5A-26.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-9 - COMMODITIES › Rule 590-4-9-.05 - Petition for Adoption of Rules

Current through Rules and Regulations filed through June 27, 2024
(1) Form of petition. Each petition for
				adoption of rules made pursuant to the Georgia Administrative Procedure Act
				shall be filed with the Commissioner in writing and shall state:
(a) The name and address of the
				petitioner;
(b) The full text of
				the rule requested to be amended or repealed; or the full text of the rule
				desired to be promulgated;
(c) A
				paragraphed statement of the reason such rule should be amended, repealed or
				promulgated, including a statement of all pertinent existing facts as to
				petitioner's interest in the matter;
(d) Citations of legal authorities, if any,
				that authorize, support, or require the action requested by petitioner. The
				petition shall be verified under oath by, or on proper behalf of, the
				petitioner.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-9 - COMMODITIES › Rule 590-4-9-.06 - Contested Cases

Current through Rules and Regulations filed through June 27, 2024
Contested cases shall be heard by the Commissioner or his or
				 her designated representative pursuant to the Georgia Administrative Procedure
				 Act and shall be conducted in accordance with the procedures provided therein,
				 procedures set forth in Code Sections
				  10-5-1
et
				 seq.
,  10-5A-28 and  the Rules and Regulations of the State of Georgia
				 Chapter 590-4.
O.C.G.A. Secs.
				  10-5A-26,   10-5A-28.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-9 - COMMODITIES › Rule 590-4-9-.07 - Confidentiality of Investigations

Current through Rules and Regulations filed through June 27, 2024
(1) Except as provided in the Act and these
				Rules and Regulations, all information and documents filed with, or obtained
				by, the Commissioner are public information and are available for public
				examination.
(2) The following
				information and documents do not constitute public information under the Act
				and these Rules and Regulations and shall be confidential:
(a) Information or documents obtained in
				connection with an investigation under Code Section
				 10-5-11;
(b) Documents prepared by the Commissioner's
				staff in connection with an investigation under Code Section
				 10-5-11 including subpoenas, notices to produce records, staff reports, and reports and
				summaries of investigations;
(c)
				Information or documents filed with the Commissioner in connection with a
				registration statement or exemption filing under the Act, which constitute or
				contain trade secrets or constitute or contain commercial or financial
				information, which the person is entitled to assert, and has asserted, a claim
				of confidentiality or privilege as authorized by law; and
(d) Any document or record specifically
				designated as confidential in accordance with the Act or the Rules and
				Regulations promulgated thereunder.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-9 - COMMODITIES › Rule 590-4-9-.08 - Records

Current through Rules and Regulations filed through June 27, 2024
(1) All
				applications, records, correspondence, reports, and other documents filed with
				the Commissioner pursuant to the various provisions of the Act may be
				maintained in original form or by means of microfilm, microfiche,
				microphotographic reproduction, photographic reproduction, word processing,
				computerization, or other acceptable reproductive methods.
(2) All books, records, correspondence,
				reports, or other documents produced pursuant to a notice to produce document
				evidence (subpoena duces tecum) issued by the Commissioner may be destroyed by
				order of the Commissioner if a demand for return is not made by the person
				producing such records within three (3) years from the time the investigative
				file is closed.
(3) Any
				photographic, microphotographic, or computer reproduction of any original
				writing or record filed with or maintained by the Commissioner shall be deemed
				to have been made in the regular course of business. Such reproduction shall be
				subject to certification.
O.C.G.A. Sec.
				  10-5A-26.
Compilation of Rules and Regulations of the State of Georgia › Department 590 - RULES OF OFFICE OF SECRETARY OF STATE › Chapter 590-4 - COMMISSIONER OF SECURITIES › Subject 590-4-9 - COMMODITIES › Rule 590-4-9-.09 - Fees and Penalties

Current through Rules and Regulations filed through June 27, 2024
(1) Every registration, renewal or other
				filing required pursuant to the Act or any Rule or Regulation promulgated
				thereunder shall be accompanied by the required fee, penalty fee or funds as
				required by the Act or the fee schedule established and maintained by the
				Secretary of State. All filing fees shall be immediately docketed into the
				automated database, by the staff of the Commissioner. Docketing of fees shall
				be for accounting and document control only and shall not constitute acceptance
				of the filing nor shall it imply that the applicant has met the filing
				requirements of the Act.
(2) No
				registration, renewal, or other filing required pursuant to the Act or any Rule
				shall be considered officially received by the Commissioner unless said
				documents are accompanied by the required fee or funds. Said fee or funds shall
				be received by the Commissioner or by a person designated by him or
				her.
(3) All fees and penalties are
				nonrefundable, unless specifically authorized by the Act and a written request
				for refund is received from the applicant.
(4) All filing fees and penalties assessed
				pursuant to the Act or the Rules and Regulations promulgated thereunder shall
				not be deemed to be paid unless payment is made in United States currency,
				certified funds, or until any check given for such fees or penalties has been
				paid by the financial institution upon which such check is drawn.
(5) The Commissioner may determine the
				imposition of any penalty provided for by the Act of the Rules and Regulations
				promulgated thereunder.
(6) The
				Commissioner shall publish a comprehensive list of filing fees, minimum service
				charges, service charges, penalties and other fees collected by the staff.
				Service charges may only be changed by the posting by the Commissioner of such
				changes in the public access area of the Division offices for a minimum of
				thirty (30) days prior to such changes being effective.
O.C.G.A. Sec.
				  10-5A-26.