Code of Alabama as maintained by the Alabama Legislative Information System Online (ALISON).

• Chapter 6, Article 1  General Provisions
• Chapter 6, Article 2  Securities Commission
• 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

Click here to view the following Chapters of the ASC Rules:

• 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 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. Ala. Code § 8-6-171
• Policy Statement Regarding: Issuers of a Primary Offering of Securities May Be Considered a Seller Within the Meaning of Ala. Code § 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 in 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
• Order of the Commission 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