Alabama Administrative Code
Title 830 - ALABAMA SECURITIES COMMISSION
Chapter 830-X-3 - REGISTRATION OF DEALERS, AGENTS, INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
- Section 830-X-3-.01 - Application For Registration As A Dealer
- Section 830-X-3-.02 - Application For Registration As An Agent
- Section 830-X-3-.03 - Application For Registration As An Investment Adviser
- Section 830-X-3-.04 - Application For Registration As An Investment Adviser Representative
- Section 830-X-3-.05 - Statement Of Financial Condition
- Section 830-X-3-.06 - Net Capital Required
- Section 830-X-3-.07 - Repealed
- Section 830-X-3-.08 - Written Examinations
- Section 830-X-3-.09 - Dual Registration
- Section 830-X-3-.10 - Notice Of Civil, Criminal Or Administrative Action Required
- Section 830-X-3-.11 - Repealed
- Section 830-X-3-.12 - Suitability Of Recommendations
- Section 830-X-3-.13 - Supervision Of Associated Persons
- Section 830-X-3-.14 - Records Required Of Registered Dealers
- Section 830-X-3-.15 - Records To Be Preserved By Registered Dealers
- Section 830-X-3-.16 - Record-Keeping Requirements For Investment Advisers
- Section 830-X-3-.17 - Disclosure Requirements For Investment Advisers
- Section 830-X-3-.18 - "Twisting" Or "Churning" Prohibited
- Section 830-X-3-.19 - Custody Of Client Funds Or Securities By Investment Advisers
- Section 830-X-3-.20 - Agency Cross Transactions
- Section 830-X-3-.21 - Dishonest Or Unethical Practices By Investment Advisers
- Section 830-X-3-.22 - Advertisements By Investment Advisers
- Section 830-X-3-.23 - Change In Name Or Legal Entity
- Section 830-X-3-.24 - Notice Of Changes Of Officers, Partners, Directors Or Controlling Persons
- Section 830-X-3-.25 - Branch Offices
- Section 830-X-3-.26 - Termination Of Registration As Dealer, Investment Adviser, Agent, Or Investment Adviser Representative
- Section 830-X-3-.27 - Use Of Certain Names Prohibited
- Section 830-X-3-.28 - The Use Of Senior-Specific Certifications And Professional Designations
Disclaimer: These regulations may not be the most recent version. Alabama may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
