0478-42-010 | Broker Dealer Agents/Investment Adviser Representatives Registration Files

Description:  Documents relating to review, examination, approval, and withdrawal of non-FINRA broker dealer agents and investment adviser representatives in the State of Georgia.

Retention:  10 years

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0478-42-001 | Charitable Organizations, Professional Fund Raisers, & Professional Solicitors Registration Files

Description:  Documents relating to the registering of charitable organizations and paid solicitors.

Retention:  6 years

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0478-42-008 | Charities Investigations Files (Closed)

Description:  Documents relating to investigations of legal improprieties under the Charities Act.

Retention:  10 years.

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0478-42-011 | Examination Files

Description:  Copies of broker dealer, broker dealer agents, investment adviser, and investment adviser representatives examinations.

Retention:  5 years

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0478-42-002 | Hearings and Pleadings Files

Description:  Documents relating to official Administrative hearings held by the Securities Division of the Office of Secretary of State.

Retention:  50 years.

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0478-42-004 | Interstate Issuers Securities and Mutual Fund Regulations

Description:  Documents relating to issuing permits to issuers of securities or mutual funds registered with the United States Securities and Exchange Commission, and applying for permit to sell securities.

Retention:  3 years.

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0478-42-005 | Registration Files

Description:  Documents relating to registration and renewal of intrastate securities issuers, investment advisers, broker dealers, broker dealer agents, and investment adviser representatives.

Retention:  10 years.

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0478-42-012 | Registration Terminated/Withdrawn Broker Dealers, Broker Dealer Agents, Investment Advisers, and Inv

Description:  Documents relating to the withdrawal and termination of registered broker dealer, broker dealer agents, investment adviser, and investment adviser representatives.
Full Title: Registration Terminated/Withdrawn Broker Dealers, Broker Dealer Agents, Investment Advisers, and Investment Adviser Representatives Registration Files

Retention:  10 years

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0478-42-006 | Renewals & Amendments of Broker Dealers, Broker Dealer Agents, Investment Advisers, and Investment A

Description:  Documents relating to amending and renewing on an annual basis the registration of broker dealers and investment advisers and reviewing of quarterly financial statements.
Full Title: Renewals & Amendments of Broker Dealers, Broker Dealer Agents, Investment Advisers, and Investment Adviser Representatives

Retention:  5 years.

Legal Citation:  O.C.G.A. 10-5-3(h)

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0478-42-007 | Securities Investigations Files (Closed)

Description:  Documents relating to conducting investigations of legal Improprieties under the Securities Act.

Retention:  10 years.

Legal Citation:  O.C.G.A 10-4-14

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0478-42-009 | Securities Issuers Exemptions 97-107(J) Files

Description:  Documents relating to the exemption under Ga. Code 97-109(J) of issuers from registration requirements of the Securities Act.

Retention:  2 years.

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0478-42-003 | Withdrawn/Abandoned Registration Applications

Description:  Withdrawn/abandoned applications for registration of broker dealer, broker dealer agents, investment adviser, and investment adviser representatives files.

Retention:  1 year.

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