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Alabama Filing Requirements

REGISTRATIONS

COORDINATION
QUALIFICATION
ISSUER AGENT
BROKER/DEALER
BROKER/DEALER AGENT
INVESTMENT ADVISER (STATE FILING)
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EXEMPTIONS

CHURCH BONDS & CHURCH EXTENSION FUND
CHARITABLE GIFT ANNUITY
RULE 506, 505, 504
REGULATION A
FURTHER LIMITED OFFERING (830-X-6-.12)
EXPANSION ORDER (EXPANSION OF 8-6-11(a)(9))
INTRASTATE OFFERINGS (CROWDFUNDING) 8-6-11(a)(14)
FEDERAL CROWDFUNDING OFFERINGS 830-X-6-.13
MUTUAL FUNDS
INDUSTRIAL REVENUE BONDS

UNIFORM FORMS

NASAA UNIFORM REGISTRATION FORMS
FINRA UNIFORM REGISTRATION FORMS
SEC UNIFORM REGISTRATION FORMS

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