Applications for broker/dealer
registration should be filed with the Web CRD
system. A Form
BD and $250.00 filing fee is required to make such application.
THE FOLLOWING DOCUMENTATION SHOULD BE FILED DIRECTLY WITH
THE ALABAMA SECURITIES COMMISSION:
- A
statement from the firm with regard to whether or not it will have custody
of Alabama
customer funds and/or discretionary accounts in Alabama.
- A
statement or undertaking detailing if any offers and/or sales have been
made to Alabama residents prior to application for registration. Please
be advised that there is no de minimus for broker dealers affecting
securities transactions in Alabama. If the Broker can claim an exemption
pursuant to the Code of Alabama, 1975, the specific statute must be
provided in the statement of undertaking.
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