Ala. Admin. Code r. 830-X-3-.23

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

Section 830-X-3-.23 - Change In Name Or Legal Entity

(1) Where only a change in name of an applicant or registrant occurs, notice of such fact shall be promptly filed on Form BD or Form ADV, as appropriate and as provided therein, and the following exhibits shall be filed within thirty (30) days:

(a) Any amendments of organizational documents, and

(b) Satisfactory rider or endorsement to the registrant's bond by surety agreeing to the change in name, if a surety bond was required and currently on file.

(2) If a change in legal entity of a registrant occurs, the new entity shall file with the Commission a new application for registration with all exhibits required.

Author:

Ala. Admin. Code r. 830-X-3-.23

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

Formerly Rule No. 830-X-3-.14.

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