Alabama Filing Requirements

REGISTRATIONS

EXEMPTIONS

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