The COVID Project
The record
- Jurisdiction
- Georgia; Securities Division, Office of the Secretary of State (State securities regulator) · Georgia
- Level
- Sector regulator
- Authority
- O.C.G.A. § 10-5-70 et seq.
- Issued
- 2020-10-30 Oct. 30, 2020
- Effective
- 2020-10-30
- End
- 2020-12-31 unless modified, vacated or superseded (read as 2020-12-31)
- In force
- Oct. 30, 2020 to Dec. 31, 2020
- Quarters
- 2020 Q4
2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3
- Limitation types
- Other
- Addressees
- investment advisers, broker-dealers and other registrants of the Georgia Securities Division
- Functions reached
- WM investment advisers and broker-dealers (filing deadlines)
- OP
- Collection
- State insurance and banking regulators AGY-ST-INSURANCE-BANKING
Operative words
Pursuant to O.C.G.A. §§ 10-5-70 et seq., the Commissioner may, by rule, regulation, or order, exempt, either conditionally or unconditionally, any person, security or transaction, or any [class thereof, from the Act]... Accordingly, it is ORDERED, pursuant to O.C.G.A. 10-5-70 et seq. of the Act: 1. The following Relief Orders issued by the Commissioner are extended through December 31, 2020 unless modified, vacated, or superseded: Order Implementing Investment Adviser Annual Update Amendment To Form ADV Deadline In Response to COVID-19 dated March 17, 2020; and Order Implementing Filing Requirements In Response to COVID-19 dated March 24, 2020.
Enforcement
O.C.G.A. §§ 10-5-70 to 10-5-79 (enforcement; penalties)
Notes
Establishes that Georgia's March 17 and March 24, 2020 securities relief orders were in force continuously through December 31, 2020. The 'Order Implementing Filing Requirements in Response to COVID-19' posted by NASAA under a Georgia-less file name is that March 24, 2020 order (not saved; scanned).
Retrieval noteDate from NASAA's file name and the order's recital; the signature date line is blank in the OCR.