Ala. Admin. Code r. 830-X-3-.26

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

Section 830-X-3-.26 - Termination Of Registration As Dealer, Investment Adviser, Agent, Or Investment Adviser Representative

(1) In the event a registrant should terminate registration or be terminated for any reason, notice of such fact in the forms prescribed by either the Commission, the National Association of Securities Dealers, or the United States Securities and Exchange Commission shall be filed within thirty (30) days with the Commission or its designee.

(2) A dealer and investment adviser shall be responsible for the acts of all executive officers, directors, partners, other associated persons, agents, and investment adviser representatives until such time as they have been properly terminated as provided in this rule.

Author:

Ala. Admin. Code r. 830-X-3-.26

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

Formerly Rule No. 830-X-3-.17.

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