FILING GUIDELINES FOR INVESTMENT ADVISER
(Code of Alabama 1975, §8-6-3)
INVESTMENT ADVISERS SUBJECT TO
advisers qualified to register on the federal level with the
(1) A complete FORM ADV.
(2) Appropriate filing fees - $250 per investment adviser.
Representatives of federally registered investment advisers with a place of business in Alabama are required to register with the Commission. Applicants must submit the following electronically through Web CRD:
(2) Filing fees - $60 per representative.
(3) Exam results.
A federally registered investment adviser will be required to renew its
notification status and the registration of its investment adviser
representatives residing, or with a place of business in
(1) FORM ADV amendment reflecting all changes since last registration or renewal in Alabama. Changes should be marked and the amendment should indicate “Notice Filing Only.”
(2) Appropriate filing fees: $250.00 per investment adviser.
$ 60.00 per investment adviser representative.