Alabama Filing Requirements

REGISTRATIONS

COORDINATION
QUALIFICATION
ISSUER AGENT
BROKER/DEALER
BROKER/DEALER AGENT
INVESTMENT ADVISER (STATE FILING)
INVESTMENT ADVISER (Notice Filing)
INVESTMENT ADVISER REPRESENTATIVE
MONETARY TRANSMISSION

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

NOTICE OF FEE CHANGES

LICENSURE AND RENEWAL FEES ARE EFFECTIVE JUNE 1, 2018
Broker Dealer Agents §8-6-3  - $70.00
Investment Adviser Representatives §8-6-3  - $70.00
Issuer Agent §8-6-3 - $70.00

EXEMPT SECURITIES §8-6-10
Open End Management Investment Company fees are based on total net assets.
Less than or equal to $25 million - $350.00
Greater than $25 million, less than $100 million - $700.00
Greater than or equal to $100 million, but less than $250 million - $1,200.00
Greater than or equal to $250 million - $2,000.00
Unit Investment Trust - $200.00