Corporations Elections Licensing Securities
Exam Waiver Announcement
The Georgia Commissioner of Securities may, in rare cases,
grant a waiver of certain examination requirements for broker-dealer agents
and/or investment adviser representatives. The relevant legal standards
applicable to such waivers may be found in the Commissioner’s Rules, at Rule
590-4-5-.02(5) for broker broker-dealer agents and Rule 590-4-4-.09 for
investment adviser representatives.
Applicants should also take care to
demonstrate to the Commissioner how satisfying the examination requirement
would present a “substantial hardship” (as such term is defined at O.C.G.A.
§50-13-9.1) to the Applicant.
Please be advised that all examination waiver requests must be made to the Commissioner in writing with reference to the applicable legal standards.
Please address all such written requests to:
2 Martin Luther King Jr. Drive, S.E.
Suite 313, West Tower
Atlanta, GA 30334
PLEASE NOTE that, until further notice, we are NOT accepting exam waiver requests for the SERIES 63 exam.
|FINRA Broker Check||Securities Act & Rules|
|Securities Orders||Securities Forms|
|Securities FAQ||Charities & Paid Solicitor Forms|
|Charities Renewal Requirements||Charitable Solicitations Rules|
|Registered Charities Search||Charities E-Mail|