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. 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1 General Provisions • Chapter 6, Article 2 Securities Commission • Chapter 6, Article 3 Fiduciary Security Transfers - Repealed - • Chapter 6, Article 4 Ownership by Minors • Chapter 6, Article 5 Pre-Issuance Procedure for Industrial Revenue Bonds • Chapter 6, Article 6 Uniform Transfer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 6, Article 8 Elderly and Vulnerable Adult Financial Protection Act of 2021. • 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-7A Fee for Renewal Of Monetary License • Chapter 830-X-8 Industrial Revenue Bonds Policy Statements • Policy Statement Regarding: Investment Advisors, Broker-Dealers and qualified individuals may place a hold on a transaction related to suspected financial exploitation of a vulnerable person. Section 8-6-171 • 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 |
