Application Requirements for Registration

 Of Securities by Coordination

{Code of Alabama 1975, § 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.

 

  1. 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.

 

  1. An originally executed Consent to Service of Process, FORM U-2, appointing Alabama’s Secretary of State to accept service of process.

 

  1. An originally executed Uniform Corporate Resolutions FORM U-2A

 

  1. An originally executed Application to Register Securities, FORM U-1.

 

  1. One copy of the prospectus.

 

  1. All other documents required to be submitted with the Form U-1, see item 8 of the Form U-1.

 

  1. Provide the Commission with notification of SEC effectiveness.