Ala. Admin. Code r. 830-X-1-.06

Current through Register Vol. 43, No. 1, October 31, 2024

Section 830-X-1-.06 - Index To Forms Prescribed By The Commission

(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 -- Consent to Service of Process * and

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 Application for the Annual Registration of RCM-A -- 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.

Author:

Ala. Admin. Code r. 830-X-1-.06

Filed September 30, 1982. Readopted: Filed November 9, 1983. Amended: Filed September 28, 1990.

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.