Ala. Admin. Code r. 830-X-3-.27

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

Section 830-X-3-.27 - Use Of Certain Names Prohibited

An applicant for registration as a dealer or investment adviser shall not use a name so similar to that of another dealer or investment adviser whether registered in this state or not, or a bank, insurance company, trust company, or other entity, so as to be misleading or confusing to the public, unless the applicant is affiliated with the similarly named entity and submits documentation of same to the Commission or the applicant has obtained a written release from the similarly named entity and furnishes an original of said release to the Commission.

Author:

Ala. Admin. Code r. 830-X-3-.27

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

Formerly Rule No. 830-X-3-.19.

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