APPLICATION
REQUIREMENTS FOR
INVESTMENT
ADVISER REPRESENTATIVES
{Code
of Alabama 1975, § 8-6-3 and Commission
Rule 830-X-3}
1.
Filing
fee: $60.00 per representative through
2.
File
electronically a current and complete FORM
U-4 / INSTRUCTIONS
for each investment adviser representative
through
Please Note:
Effective January 1, 2010, the new passing scores for each securities
law exam will be as follows:
|
Test |
Raw Score |
Percentage
of Test Points |
|
Series 65 |
94 |
72% |
|
Series 63 |
43 |
72% |
|
Series 66 |
75 |
75% |
THE COMMISSION DOES NOT
GRANT EXAM WAIVERS.