Ala. Admin. Code r. 830-X-4-.21

Current through Register Vol. 42, No. 11, August 30, 2024

Section 830-X-4-.21 - NASAA Guidelines

(1) Unless a specific rule promulgated herein or a state statute conflicts with the Guidelines, in which case the specific rule or statute will control, NASAA Guidelines, as published, will provide the basis for review of:

(a) Affiliate Transactions

(b) Options and Warrants

(c) Nonvoting Stock

(d) Cheap Stock

(e) Oil and Gas Programs

(f) Real Estate Programs

(g) Real Estate Investment Trusts

(h) Equipment Programs

(i) Commodity Pool Programs

(2) Other NASAA Guidelines, as published, shall be applied as needed unless such guideline conflicts with a specific rule promulgated herein or a state statute.

Author:

Ala. Admin. Code r. 830-X-4-.21

Filed September 28, 1990.

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