Ala. Admin. Code r. 830-X-1-.06
(1) The forms prescribed by the Commission for use in the registration of securities are as follows:
| Form RQ | -- | Application for Registration of Securities by Qualification, Exhibit Form No. 1 (Used in conjunction with Form RQ) |
| Form NM | -- | Notice for Open-End Management Investment Companies and Unit Investment Trusts |
| Form EA-1 | -- | Escrow Agreement |
| Form QQ | -- | Quarterly Financial Report for Registered Issuers |
| Form CR | -- | Application for Cancellation of Registration |
| Form U-1 | -- | Uniform Application * |
| Form U-2 and | -- | Consent to Service of Process * |
| U-2(a) | -- | Corporate Resolution |
| Form U-4 | -- | Uniform Application for Securities Industry Registration or Transfer * |
| Form RN | -- | Application for the Registration of Securities by Notification |
| Form RCM-A | -- | Application for the Annual Registration of Securities by Coordination |
(2) The forms prescribed by the Commission for use in the registration of dealers, agents, investment advisers and investment adviser representatives are as follows:
| Form BD | -- | Uniform Application for Broker Dealer Registration * |
| Form ADV | -- | Uniform Application for Registration as Investment Adviser Registration * |
| Form U-SB | -- | Uniform Surety Bond * |
| Form U-2 | -- | Consent to Service of Process * |
| and U-2A | -- | Corporate Resolution * |
| Form U-4 | -- | Uniform Application for Securities Industry Registration or Transfer * |
| Form U-5 | -- | Uniform Termination Notice for Securities Industry Registration * |
| Focus II or Focus II(a) | -- | Quarterly Financial Report for Dealers * |
(3) The forms prescribed by the Commission for use in the application for licensing under the Sale of Checks Act are as follows:
| Form SA | -- | Application for License |
| Form SB | -- | Surety Bond |
| Form SD | -- | Deposit in Lieu of Surety Bond |
| Form SR | -- | Application for Renewal of License |
(4) The form prescribed for use in the notification to the Director of the proposed issuance of industrial revenue bonds is as follows:
| IRB-1 | -- | Initial Submission |
(5) The form prescribed for use in the application for exemption pursuant to Rule 830-X-6-.11 is as follows:
| Form D | -- | Notice of Sale of Securities Pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offering Exemption |
* These forms are not available from the Alabama Securities Commission.
Statutory Authority: Code of Ala. 1975, §§ 8-6-3, 8-6-4 through 8-6-8, 8-6-23, 8-6-113, 8-6-115.
History: Filed September 30, 1982. Readopted: Filed November 9, 1983. Amended: Filed September 28, 1990.