Section 830-X-4-.01 - Applications (Alabama Administrative Code)

§ 830-X-4-.01. Applications

Applications for registration of securities by Coordination shall be submitted on Form U-1, the uniform Application to Register Securities. Applications for registration of securities by Qualification shall be submitted on Form 33 supplied by the Securities Commission. All information requested on the application is essential and must be furnished. An application which is not adequately and properly submitted will be returned for completion. Additional exhibits not called for in the application, but which are essential to a full representation of the facts, should be furnished and properly identified. All exhibits filed become a part of the permanent records of this office.

Author:

(Filed September 30, 1982. Readopted: Filed November 9, 1983.)

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

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