Corporations Elections Licensing Securities

Broker-Dealers


Broker-Dealer [O.C.G.A. § 10-5-30]:

Broker-Dealers must file electronically through the Central Registration Depository (CRD) system operated by Financial Industry Regulatory Authority (FINRA). For questions relating to FINRA, please call the Gateway Call Center at 240-386-4848.

Initial Registration

Through CRD:

  • Form BD
  • Application fee of $250.00. See O.C.G.A. § 10-5-39.
  • When a firm pays the registration fee through FINRA, the Georgia Securities Division analyst assigned to the firm’s registration application will contact you. 
  • Submit any other information requested by the Commissioner to the Commissioner of the Securities Division, directly

Expiration and Renewal

Unless renewed, all broker-dealer firm registrations (regardless of when permitted in the calendar year) expire on December 31st of each calendar year. The renewal fee is $100.00. Renewals should be submitted through CRD prior to expiration of registration.

FINRA publishes instructions on CRD renewal during the fall prior to expiration.  If you do not receive instructions from FINRA regarding the renewal process during the fall you should contact the FINRA Gateway Call Center at (240) 386-4848 or the Georgia Securities Division at (478) 207-2440. 

Please be advised:
Failure to renew by December 31st will result in termination of your registration in Georgia. The Securities Division will NOT send out separate renewal notices to remind registrants of the renewal process.


Contact

214 State Capitol
Atlanta, Georgia 30334
404.656.2881
E-Mail
© 2012 Georgia Secretary of State