Application Requirements for Registration
as a Securities Broker/Dealer
as a Securities Broker/Dealer
{Code of Alabama 1975, ยง 8-6-3, and Commission Rule 830-X-3} |
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:
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