Application of Requirements for Registration of Securities by Qualification
{Ala. Code § 8-6-7, § 8-6-8 and Commission Rule 830-X-4}
- A filing fee of $40.00 in the form of a non-personal check or money order payable to the Alabama Securities Commission.
- A registration fee of one tenth of one percent of the aggregate offering price of the securities which are to be offered in the State of Alabama, no less than $100.00, but not to exceed a fee of $1,500.00.
- An originally signed and originally notarized Consent to Service of Process, Form U-2, appointing Alabama’s Secretary of State to accept service of process.
- An originally signed and sealed Corporate Resolution, Form U-2A.
- An originally signed and originally notarized Application for Registration of Securities by Qualification, Form RQ.
- One copy of the prospectus.
- All other documents required to be submitted with the Application for Registration of Securities by Qualification, see PART II of this form.