Alabama Securities Commission

STATUTES, REGULATIONS & COMMISSION POLICIES

Code of Alabama 1975 as maintained by the Alabama Legislative Information System Online (ALISON)*
* This link will take you to the ALISON Database that is maintained by the Alabama Legislature

Alabama Securities Act (Section 8 Chapter 6)
• Article 1 General Provisions
• Article 2 Securities Commission
• Article 3 Fiduciary Security Transfers - Repealed -
• Article 4 Ownership by Minors
• Article 5 Pre-Issuance Procedure for Industrial Revenue Bonds
• Article 6 Uniform Transfer On Death Security Registration Act
• Article 7 Protection of Vulnerable Adults from Financial Exploitation Act
• ASC and DHR Financial Reporting Form and guidelines.

Sale of Checks Act (Section 8 Chapter 7)
• Sale of Checks

Rules of the Alabama Securities Commission
• Chapter 830-X-1 Organization and General Operation
• Chapter 830-X-2 General Rules
• Chapter 830-X-3 Registration of Dealers, Agents, Investment Advisers and Investment Adviser Representatives
• Chapter 830-X-4 Registration of Securities
• Chapter 830-X-5 Reserved
• Chapter 830-X-6 Exempt Securities and Exempt Transactions
• Chapter 830-X-7 Sale of Checks Act
• Chapter 830-X-8 Industrial Revenue Bonds

Proposed Rule Changes

Policy Statements
• Statement of Policy on Registration Under Sale of Checks Act - 07/11/2016
• Order of the Commission (12/19/2012) - Provision for the Implementation of Performance Fees
• Policy Statement Regarding the Extension of the Foreign Stocks Exemption
• Emergency Order Due to Hurricane Katrina
• Policy Regarding Registered Broker-Dealer Agents and Investment Adviser Representatives Called to Active Duty in the United States
Military.
• Policy Statement Regarding Banks and Formation
• Canadian Cross Border Trading
• Change in Legal Entity from a Limited Partnership or Corporation to a Limited Liability Company
• Exempting Certain Offers of Securities made on the Internet from Securities Registration
• Investment Adviser Registration Depository (IARD)
• Limited Offering Exemption Filings (Rules 506, 505, 504)
• Notice Filings for Mutual Funds
• Using the Internet for General Dissemination of Information on Products and Services
• Registration Exemption Pursuant to Section 8-6-10(10) concerning qualification of plans complying with Rule 701 and Section 3(b)
• Viatical Settlement Contracts
• Sales of Securities of DE NOVO Banks