Chapter 6 Article 1 General Provisions – Alabama Securities Commission

Section 8-6-1 Short title.
Section 8-6-2 Definitions.
Section 8-6-3 Registration and bonds of dealers, agents, investment advisers, etc.
Section 8-6-4 Registration of securities – Required; exceptions.
Section 8-6-5 Registration of securities – Registration by notification.
Section 8-6-6 Registration of securities – Registration of certain securities by coordination.
Section 8-6-7 Registration of securities – Registration by qualification.
Section 8-6-8 Registration of securities – Registration statement; conditions precedent; bond; notice of action; fees; quarterly reports and financial statements; discharge from supervision.
Section 8-6-9 Registration of securities – Denial, suspension and revocation of registration.
Section 8-6-10 Registration of securities – Exempt securities.
Section 8-6-11 Registration of securities – Exempt transactions.
Section 8-6-12 Registration of securities – Applicability of provisions of article; consent to service of process on Secretary of State.
Section 8-6-14 Filing or registration not finding of truth, completeness, etc., of documents; representations concerning effect of registration or exemption.
Section 8-6-15 Investigations and subpoenas by commission.
Section 8-6-16 Administrative cease and desist authority to commission; injunctive relief; appointment of receivers or conservators for defendants or defendants’ assets; court ordered rescission, restitution, or disgorgement for violations.
Section 8-6-17 Prohibited acts regarding offer, sale, or purchase of securities.
Section 8-6-18 Criminal penalties for violations of article; enforcement; scienter.
Section 8-6-19 Civil liabilities of sellers, agents, etc.; remedies of purchasers.
Section 8-6-21 Commission authorized to swear out warrants of arrest; liability of commission for warrant.
Section 8-6-22 Duties of director; director empowered to swear out warrants of arrest; liability of director for warrant.
Section 8-6-23 Making, amending, and rescinding rules and prescribing forms by commission.
Section 8-6-24 Liability for acts done or omitted in good faith under rules, forms, or orders.
Section 8-6-25 Hearings to be public; requests for private hearings.
Section 8-6-26 Document deemed filed when received.
Section 8-6-27 Commission to keep register; register to be open for public inspection.
Section 8-6-28 Commission to furnish copies of register entries or documents; certified copy deemed prima facie evidence.
Section 8-6-29 Interpretative opinions by commission.
Section 8-6-30 Burden of proving exemption or exception from definition.
Section 8-6-31 Commission may issue warnings to public and publish information regarding orders.
Section 8-6-32 Party aggrieved by order entitled to hearing before commission; appeals from action of commission.
Section 8-6-33 Disposition of revenue.