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!

Con Watch Link She Can Link

 

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
Home    Contact    
  Like us on Facebook  Find us on Twitter