Corporations Elections Licensing Securities Charities

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:

Securities Division
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.


214 State Capitol
Atlanta, Georgia 30334
© 2012 Georgia Secretary of State