search engine
by
freefind
advanced
CONTACT US
About Us
ASC Mission
Director
Facebook
Twitter
Contact Us
Enforcement
About Enforcement
Complaint Procedure
Adult Financial Exploitation
Administrative Actions
Legal
Registration
Auditing
Frequently Asked Questions
Examination Process
IA Compliance Materials
Deficiencies and Best Practices
Common Deficiencies
Best Practices
Broker Dealers
Investment Advisors
For Investors
Broker Check
Investor Education
She Can
Military Communities
Helpful Military Websites
Websites for Investors
Presentation Request
Press Room
Investor Alerts
News Releases
Annual Reports
Legislative and Audit Reports
Newsletters
Auction Rate Settlements
ASC CORONAVIRUS NOTICE
- Steps the Commission is Taking to Keep Our Staff and Our Stakeholders Safe
About
Administrative Actions
Financial Exploitation Reporting
Filing Requirements
Stock and Bond Research
Helpful Websites
Latest News
1/19/2023 - ASC Joins with Other State Securities Regulators to Settle with Nexo
1/12/2023 - Alabama Securities Commission Announces Stiff Sentence for Movie Production Scammer
1/10/2023 - New Market Man Pleads Guilty to Securities Fraud
12/29/2022 - FTX Signs Consent Order with Alabama Securities Commission to End Money Transmission in Alabama
11/29/2022 - Florida Couple Arrested for Alleged Financial Exploitation of the Elderly and Violations of the Alabama Securities Act
10/28/2022 - What Scams Are Knocking on Your Front Door This Halloween? Turn Off the Lights on these Tricksters!
Key Events and Information
Helping Families Affected By COVID-19
Alabama Joins in National "Facts on Saving and Investing" Investor Education Initiative
CRYPTO-CURRENCY Investor ALERT
Are you An Informed Investor (Robo-Advisers)
Protect Alabama Troops
