Proposal to Amend Portions of Georgia’s Registered Person Examination/Licensing Rule
Summary
SIFMA and the Association of Registration Management, Inc. (ARM) provide comments to the Office of the Georgia Secretary of State on the Notice of Proposed Amendment to the Rules of The Office of Secretary of State Commissioner of Securities, Chapter 590-4-5, Broker-Dealers and Agents, Rule 590-4-5.02 Examination.
Excerpt
March 1, 2019
Via Electronic Mail: [email protected]
Mr. Blake Kennedy
Office of the Georgia Secretary of State
2 Martin Luther King, Jr. Drive SE
West Tower, Suite 317
Atlanta, GA 30334
Re: Notice of Proposed Amendment to Rule 590-4-5.02, Examination
Dear Mr. Kennedy:
The Association of Registration Management, Inc. (“ARM”) in conjunction with The Securities Industry and Financial Markets Association (“SIFMA”) appreciates the opportunity to comment on the Notice of Proposed Amendment to the Rules of The Office of Secretary of State Commissioner of Securities, Chapter 590-4-5, Broker-Dealers and Agents, Rule 590-4-5.02
Examination.
ARM is an organization that exists for the primary purpose of representing the financial services industry on issues that concern the registration and licensing functions. The organization, established in 1975, has now provided that representation for over 40 years.
SIFMA is the leading trade association for broker-dealers, investment banks and asset managers operating in the U.S. and global capital markets. On behalf of the securities industry’s nearly one million employees, SIFMA advocates for legislation, regulation and business policy, affecting retail and institutional investors, equity and fixed income markets and related products and services. SIFMA serves as an industry coordinating body to promote fair and orderly markets, informed regulatory compliance, and efficient market operations and resiliency. SIFMA also provides a forum for industry policy and professional development.