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Broker-Dealer FAQs


1. Whom do I contact in connection with my initial registration in the State of Georgia?

For information on filing electronically through the CRD System, contact FINRA at the following:

FINRA
1735 K Street
Washington DC, 20006
(240) 386-4848

For all other information concerning registration in the State of Georgia, contact the Securities Division at the following:

Registration Analyst
Office of the Georgia Secretary of State
2 Martin Luther King Jr. Drive S.E.
Suite 317 West Tower
Atlanta, GA 30334

registrations@sos.ga.gov

2. Does the State of Georgia, Securities Division accept documents electronically?

Yes. Please feel free to email documents after an analyst has contacted your firm requesting documents required for registration. An analyst will contact you using the email address listed on your firm’s listing in FINRA CRD. 

3. Are there any special supervision obligations for a broker-dealer or a broker-dealer agent in Georgia?

Yes. Each broker-dealer must comply with the supervision requirements of FINRA. These requirements can be found on FINRA’s website located at http://www.finra.org/Industry/Compliance/Registration/QualificationsExams/MemberFirms/

4. Does the Securities Division require branch office registration for branches located in Georgia?

No. The Securities Division has no special branch office registration requirements other than those required by FINRA. However, every broker-dealer of securities with branch offices in Georgia must designate through CRD a resident supervisor and shall furnish to the Securities Division upon request the location.

5. Does Georgia sponsor individuals for securities exams?

No. Georgia does not sponsor individuals for any securities exams.

6. Does the Securities Division require the filing of any audit financials by Broker Dealers?

No. Please be advised that the Securities Division does NOT require broker-dealers registered with the Division to submit annual audited financial statements, or any financial statements for that matter, to the Division, unless specifically requested to do so by the Division.

Accordingly, broker-dealers registered with the Division should NOT send to the Division any of the financial statements and supporting schedules required to be filed with the SEC pursuant to 17 CFR 240.17a-5(d)(1)(i).

This announcement in no way impacts a broker-dealers obligation to make such filings with the SEC, the FINRA, or any state other than Georgia.


Contact

214 State Capitol
Atlanta, Georgia 30334
844.753.7825
E-Mail
© 2012 Georgia Secretary of State