ALABAMA SECURITIES COMMISSION
NOTICE OF INTENDED ACTION
RULE NO. & TITLE: 830-X-3-.08 Written Examinations.
INTENDED ACTION: Amend existing Rule 830-X-3-.08.
SUSTANCE OF PROPOSED ACTION: To allow an additional examination for persons desiring to register as an
officer, director, partner or other person occupying similar functions of an investment advisor applicant, or an
investment advisor representative applicant and to establish certain waivers from examination requirements.
TIME, PLACE, MANNER OF PRESENTING VIEWS: Interested persons may present their views in writing
through 5:00 p.m. on November 15, 1999, addressed to Joseph P. Borg, Director, Alabama Securities Commission, 770
Washington Avenue, Suite 570, Montgomery, Alabama 36130-4700. All comments received will be fully considered.
FINAL DATE FOR COMMENT AND COMPLETION OF NOTICE: November 15,1999.
CONTACT PERSON AT AGENCY: Ms. Susan B. Anderson, Deputy Director, Alabama
Securities Commission, 770 Washington Avenue, Suite 570, Montgomery, Alabama 36104.
The telephone number is 242-2984 and the facsimile number is 242-0240.
DATE P. BORG