Pursuant to Regulation 590-4-2-.03(10), the Georgia Securities Division no longer requires broker dealers to send year-end financial statements. Financial statements are only required when filing an application for registration.

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Pursuant to Regulation 590-4-2-.08, the Commissioner now requires applicants to submit criminal history reports when applying for registration as a salesperson, limited salesperson, designated salesperson, investment adviser, federal covered adviser, or investment adviser representative.

590-4-2-.08 Criminal History Access.  Each applicant filing an application to become a salesperson, limited salesperson, designated salesperson, investment adviser, federal covered adviser, or investment adviser representative shall submit a complete set of his or her fingerprints taken by an authorized law enforcement officer to the Georgia Bureau of Investigation, to the Federal Bureau of Investigation, or through the CRD for state and federal processing.  The Commissioner and his or her staff are authorized to review the criminal history record information generated by the processing of fingerprints.  The Commissioner may promulgate rules and regulations for the administration of this provision.

Authority O.C.G.A. §§ 10-5-3, 10-5-10(d) and 10-5-11.