Ala. Admin. Code r. 830-X-3-.25

Current through Register Vol. 43, No. 1, October 31, 2024

Section 830-X-3-.25 - Branch Offices

(1) Every dealer or investment adviser registered in Alabama shall notify the Commission of the establishment of any office in Alabama, as well as its address, and the name or names of the branch managers and the method of compensation for those branch managers.

(2) Such notification of the establishment of or any change in the location of the office or the identity of the branch manager must be filed in the form prescribed by the Commission within thirty (30) days from the date of the establishment or change.

Author:

Ala. Admin. Code r. 830-X-3-.25

Filed September 30, 1982. Readopted: Filed November 9, 1983. Amended: Filed September 28, 1990.

Formerly Rule No. 830-X-3-.16.

Statutory Authority:Code of Ala. 1975, § 8-6-23.