STATUTES, REGULATIONS & COMMISSION POLICIES
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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Chapter 6) • Article 1 General Provisions • Article 2 Securities Commission • Article 3 Fiduciary Security Transfers - Repealed - • Article 4 Ownership by Minors • Article 5 Pre-Issuance Procedure for Industrial Revenue Bonds • Article 6 Uniform Transfer On Death Security Registration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) will be replaced by the Alabama Monetary Transmission Act (Section 8 Chapter7a) Effective August 1, 2017 All new Sale of Check/Money Transmitter filings submitted on or after August 1, 2017, will fall under the new Alabama Monetary Transmission Act (Section 8 Chapter 7a). If you are currently registered or have completed the registration process prior to August 1, 2017, you will continue to follow the Sale of Checks Act (Section 8 Chapter 7) until you renew March 31, 2018. • 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 Policy Statements • Statement of Policy That Issuers of a Primary Offering of Securities May Be Considered a Seller Within the Meaning of Alabama Code Section 8-6-19 - 09/10/2018 • 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 |
