Ala. Admin. Code r. 830-X-3-.09

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

Section 830-X-3-.09 - Dual Registration

Registration of any "associated person" simultaneously with more than one issuer, dealer, or investment advisor is prohibited, except as may be allowed on a case by case basis by the Director after a determination is made that the waiver would be in the public interest.

Author: Alabama Securities Commission

Filed September 30, 1982. Readopted: Filed November 9, 1983. Amended: Filed September 28, 1990. Amended: Filed January 25, 1996; effective February 29, 1996.

Formerly Rule No. 830-X-3-.06. Amended: Filed June 21, 1999; effective July 26, 1999.

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