Ala. Admin. Code r. 830-X-3-.03

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

Section 830-X-3-.03 - Application For Registration As An Investment Adviser

(1) Each investment adviser shall file a Form ADV and any other documentation the Commission may require.

(2) If the information contained in any application for registration, or in any amendment thereto, becomes inaccurate for any reason, the investment adviser shall within 30 days file an amendment on Form ADV correcting such information in the manner provided in the General Instructions accompanying the form.

(3) Registration of all investment advisers shall expire on December 31st of each year unless renewals for the following year are completed by that date.

Author:

Ala. Admin. Code r. 830-X-3-.03

Filed September 28, 1990.

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