In the event of a change of the officers, partners, directors or controlling persons, as defined by these rules, of any applicant or registrant, written notice of such fact or change shall be filed with the Commission, or its designee, within thirty (30) days, as provided by Form BD or Form ADV.

Statutory Authority: Code of Ala. 1975, §8-6-23.

History: Filed September 30, 1982. Readopted: Filed November 9, 1983. Amended: Filed September 28, 1990. Ed. Note: Formerly Rule No. 830-X-3-.15.