Alabama

  • Alabama is a merit jurisdiction.
  • Alabama accepts the Uniform Application to Register Securities (Form U1), and does not allow for electronic signature of forms.
  • Registration requires filing or delivery of:
    • Filing fee
    • Application form
    • Financial statements
    • A Consent to Service of Process (Form U2)
    • SEC Form 1-A with exhibits
    • A review of the documents may warrant a request for further information
  • Alabama collects a variable fee: one tenth of one percent of the aggregate offering price of the securities which are to be offered in Alabama, and no less than $100 but not to exceed a fee of $1,500. Fees should be payable to “Alabama Securities Commission”.
  • In addition to the variable fee, there a is a $40 application fee.
  • Payments should be sent to the following address:

Mailing address:                                                     Courier address:
P.O. Box 304700                                                   401 Adams Avenue, Suite 280
Montgomery, AL 36130-4700                                Montgomery, AL 36104

  • For additional information,  please visit the Securities Commission’s website at www.asc.state.al.us, or contact them at 334-242-2984.
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