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Alabama Administrative Code
830
Chapter 830-X-3
Registration of Dealers, Agents, Investment Advisers and Investment Adviser Representatives
Alabama Securities Commission
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830-X-3-.01
Application For Registration As A Dealer
830-X-3-.02
Application For Registration As An Agent
830-X-3-.03
Application For Registration As An Investment Adviser
830-X-3-.04
Application For Registration As An Investment Adviser Representative
830-X-3-.05
Statement Of Financial Condition
830-X-3-.06
Net Capital Required
830-X-3-.07
Repealed
Repealed
830-X-3-.08
Written Examinations
830-X-3-.09
Dual Registration
830-X-3-.10
Notice Of Civil, Criminal Or Administrative Action Required
830-X-3-.11
Repealed
Repealed
830-X-3-.12
Suitability Of Recommendations
830-X-3-.13
Supervision Of Associated Persons
830-X-3-.14
Records Required Of Registered Dealers
830-X-3-.15
Records To Be Preserved By Registered Dealers
830-X-3-.16
Record-Keeping Requirements For Investment Advisers
830-X-3-.17
Disclosure Requirements For Investment Advisers
830-X-3-.18
"Twisting" Or "Churning" Prohibited
830-X-3-.19
Custody Of Client Funds Or Securities By Investment Advisers
830-X-3-.20
Agency Cross Transactions
830-X-3-.21
Dishonest Or Unethical Practices By Investment Advisers
830-X-3-.22
Advertisements By Investment Advisers
830-X-3-.23
Change In Name Or Legal Entity
830-X-3-.24
Notice Of Changes Of Officers, Partners, Directors Or Controlling Persons
830-X-3-.25
Branch Offices
830-X-3-.26
Termination Of Registration As Dealer, Investment Adviser, Agent, Or Investment Adviser Representative
830-X-3-.27
Use Of Certain Names Prohibited
830-X-3-.28
The Use Of Senior-Specific Certifications And Professional Designations