Application Requirements for Registration Of Securities by Coordination

{Ala. Code § 8-6-6, § 8-6-8 and Commission Rule 830-X-4}

  1. A filing fee of $40.00 in the form of a non-personal check or money order payable to the Alabama Securities Commission.
  2. 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.
  3. An originally executed Consent to Service of Process, Form U-2, appointing Alabama’s Secretary of State to accept service of process.
  4. An originally executed Uniform Corporate Resolutions Form U-2A.
  5. An originally executed Application to Register Securities, Form U-1.
  6. One copy of the prospectus.
  7. All other documents required to be submitted with the Form U-1, see item 8 of the Form U-1.
  8. Provide the Commission with notification of SEC effectiveness.