Are there any special supervision obligations for a dealer or a salesperson in Georgia?
Yes. Each dealer must comply with the supervision requirements of NASD. 5. 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 the NASD. However, every general dealer or limited 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 and telephone number of all Georgia branch offices and the name of the resident supervisor for each branch office. 6. Does Georgia sponsor individuals for securities exams? No. Georgia does not sponsor individuals for any securities exams. 7. Are promissory notes securities and, if so, do sellers have to be registered as dealers/or salespersons? Generally, yes. Promissory notes are securities that require the sellers to be registered as dealers, salespersons, investment advisers, or inves
