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. Select Title 8 Commercial Law and Consumer Protection, and then Chapter 6, Securities to see the source of the below information.

Alabama Securities Act (Title 8 - Commercial Law and Consumer Protection)
Chapter 6, Article 1 General Provisions
Chapter 6, Article 2 Securities Commission
Chapter 6, Article 3 Fiduciary Security Transfers - Repealed -
Chapter 6, Article 4 Ownership by Minors
Chapter 6, Article 5 Pre-Issuance Procedure for Industrial Revenue Bonds
Chapter 6, Article 6 Uniform Transfer On Death Security Registration Act
Chapter 6, Article 7 Protection of Vulnerable Adults from Financial Exploitation Act
Chapter 7a The Alabama Monetary Transmission Act

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


Policy Statements
• Policy Statement Regarding: Issuers of a Primary Offering of Securities May Be Considered a Seller Within the Meaning of Alabama Code    Section 8-6-19
• Policy Statement Regarding: Registration Under Sale of Checks Act
• 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: Exemption Due to Hurricane Katrina
• Policy Statement Regarding: Registered Broker-Dealer Agents and Investment Adviser Representatives Called to Active Duty in the United    States Military.
• Policy Statement Regarding: Banks and Formation
• Policy Statement Regarding: Canadian Cross Border Trading
• Policy Statement Regarding: Change in Legal Entity from a Limited Partnership or Corporation to a Limited Liability Company
• Policy Statement Regarding: Exempting Certain Offers of Securities made on the Internet from Securities Registration
• Policy Statement Regarding: Investment Adviser Registration Depository (IARD)
• Policy Statement Regarding: Limited Offering Exemption Filings (Rules 506, 505, 504)
• Policy Statement Regarding: Notice Filings for Mutual Funds
• Policy Statement Regarding: Using the Internet for General Dissemination of Information on Products and Services
• Policy Statement Regarding: Qualification of plans complying with Rule 701 and 3(b)for exemption from registration
• Policy Statement Regarding: Viatical Settlement Contracts
• Policy Statement Regarding: Sales of Securities of DE NOVO Banks