https://asc.alabama.gov/2026-04-02T09:34:15-05:00https://asc.alabama.gov/documents-library/2022-11-29T08:49:15-06:00https://asc.alabama.gov/documents-library/documents/2023-04-19T12:28:33-05:00https://asc.alabama.gov/documents-library/archive/2022-12-01T15:26:26-06:00https://asc.alabama.gov/documents-library/directives-and-memorandums/2022-07-20T14:07:59-05:00https://asc.alabama.gov/contact-us/2026-03-10T14:22:07-05:00https://asc.alabama.gov/search/2023-06-13T08:13:37-05:00https://asc.alabama.gov/document-library/2023-10-19T09:23:28-05:00https://asc.alabama.gov/for-industry/enforcement/administrative-actions/document-search/2024-05-31T14:18:11-05:00https://asc.alabama.gov/for-industry/enforcement/administrative-actions/2025-05-08T12:13:32-05:00https://asc.alabama.gov/about/director/2026-04-01T15:55:28-05:00https://asc.alabama.gov/about/2024-12-10T16:43:42-06:00https://asc.alabama.gov/about/mission/2025-07-09T13:07:20-05:00https://asc.alabama.gov/for-industry/2026-03-02T16:13:45-06:00https://asc.alabama.gov/for-industry/auditing/2026-03-02T15:56:57-06:00https://asc.alabama.gov/for-industry/auditing/faq/2026-03-10T07:45:51-05:00https://asc.alabama.gov/for-industry/auditing/examination-process/2024-01-16T16:01:06-06:00https://asc.alabama.gov/for-industry/auditing/ia-compliance/2023-10-31T12:56:36-05:00https://asc.alabama.gov/for-industry/auditing/best-practices-bd/2023-10-31T13:53:02-05:00https://asc.alabama.gov/for-industry/auditing/best-practices-for-investment-advisers/2024-01-26T13:20:13-06:00https://asc.alabama.gov/for-industry/auditing/common-deficiencies/2024-01-26T13:21:48-06:00https://asc.alabama.gov/statute-2/2026-02-20T16:38:51-06:00https://asc.alabama.gov/statute-2/chapter-6-article-1-general-provisions/2023-10-31T15:01:53-05:00https://asc.alabama.gov/statute-2/registration-under-sale-of-checks-act/2024-01-19T09:24:40-06:00https://asc.alabama.gov/statute-2/banks-and-formation/2024-01-18T13:42:26-06:00https://asc.alabama.gov/statute-2/notice-filings-for-mutual-funds/2025-07-16T13:19:10-05:00https://asc.alabama.gov/for-industry/registration/2026-03-19T16:14:45-05:00https://asc.alabama.gov/statute-2/policy-on-sales-of-securities-of-de-novo-banks/2025-07-16T13:13:42-05:00https://asc.alabama.gov/for-industry/registration/coordination/2024-02-01T07:48:04-06:00https://asc.alabama.gov/for-industry/enforcement/2026-03-02T15:58:56-06:00https://asc.alabama.gov/for-industry/enforcement/complaint-procedure/2025-11-17T15:48:32-06:00https://asc.alabama.gov/for-industry/enforcement/adult-financial-exploitation/2024-12-10T16:58:08-06:00https://asc.alabama.gov/for-industry/registration/qualification/2024-02-01T08:47:38-06:00https://asc.alabama.gov/for-industry/registration/issuer-agent/2024-01-31T16:15:24-06:00https://asc.alabama.gov/news-releases/2023-11-08T12:47:29-06:00https://asc.alabama.gov/for-industry/registration/broker-dealer/2024-01-31T16:16:06-06:00https://asc.alabama.gov/for-industry/registration/broker-dealer-agent/2025-10-14T13:57:53-05:00https://asc.alabama.gov/for-industry/registration/monetary-transmission/2024-02-01T07:55:28-06:00https://asc.alabama.gov/for-industry/registration/investment-advisers-state-filing/2025-02-27T09:39:51-06:00https://asc.alabama.gov/for-industry/registration/investment-advisers-notice-filing/2024-02-01T07:57:31-06:00https://asc.alabama.gov/for-industry/registration/investment-adviser-representatives/2025-10-14T13:58:54-05:00https://asc.alabama.gov/for-investors/2024-07-18T15:36:02-05:00https://asc.alabama.gov/for-industry/registration/church-bonds-church-extension-fund/2024-02-01T07:59:30-06:00https://asc.alabama.gov/for-industry/registration/charitable-gift-annuities/2024-01-31T16:21:37-06:00https://asc.alabama.gov/for-investors/military-communities/military-websites/2025-07-09T13:21:25-05:00https://asc.alabama.gov/for-investors/websites-for-investors/2025-07-11T14:21:38-05:00https://asc.alabama.gov/stock-and-bond-research/2025-02-20T15:11:09-06:00https://asc.alabama.gov/press-room/2023-11-15T10:15:47-06:00https://asc.alabama.gov/for-industry/registration/regulation-a/2024-01-22T14:08:34-06:00https://asc.alabama.gov/press-room/legislative-reports/2024-01-04T15:39:24-06:00https://asc.alabama.gov/press-room/annual-reports/2025-11-03T16:37:42-06:00https://asc.alabama.gov/press-room/newsletters/2026-03-03T09:31:25-06:00https://asc.alabama.gov/for-investors/military-communities/2024-12-11T10:21:58-06:00https://asc.alabama.gov/for-investors/military-communities/protect-alabama-troops/2024-01-04T15:59:53-06:00https://asc.alabama.gov/press-room/investor-alerts/2023-11-15T08:33:22-06:00https://asc.alabama.gov/for-industry/registration/further-limited-offering-exemption/2024-01-31T16:23:01-06:00https://asc.alabama.gov/for-industry/registration/expansion-order/2024-01-31T16:25:06-06:00https://asc.alabama.gov/for-industry/registration/intrastate-offering-crowdfunding/2024-04-18T16:00:17-05:00https://asc.alabama.gov/for-industry/registration/federal-crowdfunding/2024-01-31T16:26:31-06:00https://asc.alabama.gov/for-industry/registration/mutual-funds/2024-01-31T16:27:11-06:00https://asc.alabama.gov/for-investors/request-for-presentation/2025-10-30T09:51:18-05:00https://asc.alabama.gov/for-investors/investor-education/2025-07-09T13:17:47-05:00https://asc.alabama.gov/for-investors/she-can-3-20-2024/2026-03-10T07:54:41-05:00https://asc.alabama.gov/investor-bill-of-rights/2023-11-22T08:41:35-06:00https://asc.alabama.gov/ten-tips-to-avoid-investment-fraud/2023-11-22T08:41:59-06:00https://asc.alabama.gov/affinity-fraud/2023-11-22T08:46:11-06:00https://asc.alabama.gov/how-to-spot-a-con-artist/2023-11-22T08:44:21-06:00https://asc.alabama.gov/financial-exploitation-reporting-form/2025-10-30T09:52:24-05:00https://asc.alabama.gov/public-records/2024-01-04T16:53:33-06:00https://asc.alabama.gov/statute-2/statement-of-policy-qualified-individuals-may-place-holds/2024-01-31T16:01:40-06:00https://asc.alabama.gov/statute-2/provisions-for-the-implementation-of-certain-performance-fees/2024-01-19T09:26:19-06:00https://asc.alabama.gov/statute-2/issuers-of-a-primary-offering-of-securities-may-be-considered-a-seller/2025-07-11T14:25:42-05:00https://asc.alabama.gov/statute-2/extension-of-the-foreign-stocks-exemption/2024-01-19T09:30:05-06:00https://asc.alabama.gov/statute-2/emergency-order-due-to-hurricane-katrina/2025-07-11T14:28:23-05:00https://asc.alabama.gov/statute-2/registered-broker-dealer-agents-and-investment-adviser-representatives-called-to-active-duty/2024-01-19T09:33:47-06:00https://asc.alabama.gov/statute-2/canadian-cross-border-trading/2025-07-11T14:30:24-05:00https://asc.alabama.gov/statute-2/extension-for-filing-change-in-legal-entitiy-from-a-limited-partnership-or-corportation-to-a-limited-liability-company/2025-07-14T15:33:39-05:00https://asc.alabama.gov/statute-2/order-exempting-certain-offers-of-securities-made-on-the-internet-from-securities-registration/2025-07-14T15:36:20-05:00https://asc.alabama.gov/statute-2/investment-advisers-and-investment-adviser-representatives-to-utilize-the-investment-adviser-registration-depository-iard-for-all-application-amendment-renewal-termination-and-withdrawal-filings/2024-01-31T16:04:01-06:00https://asc.alabama.gov/statute-2/policy-statement-concerning-limited-offering-exemption-filings/2025-07-14T15:39:22-05:00https://asc.alabama.gov/statute-2/using-the-internet-for-general-dissemination-of-information-on-products-and-services/2024-01-19T09:55:26-06:00https://asc.alabama.gov/statute-2/policy-statement-on-viatical-settlement-contracts/2024-01-23T13:05:59-06:00https://asc.alabama.gov/statute-2/policy-statement-701/2024-01-19T09:50:17-06:00https://asc.alabama.gov/for-industry/registration/exempt-securities-fees/2024-01-31T16:29:46-06:00https://asc.alabama.gov/for-industry/enforcement/complaint-procedure/complaint-form/2025-11-13T15:05:22-06:00https://asc.alabama.gov/statute-2/alabama-securities-act-title-8-chapter-6-article1/2024-12-12T09:12:20-06:00https://asc.alabama.gov/statute-2/alabama-securities-act-title-8-chapter-6-article-2/2026-03-10T10:24:51-05:00https://asc.alabama.gov/statute-2/alabama-securities-act-title-8-chapter-6-article-4/2024-02-01T10:33:21-06:00https://asc.alabama.gov/statute-2/alabama-securities-act-title-8-chapter-6-article-5/2024-02-01T10:33:39-06:00https://asc.alabama.gov/statute-2/alabama-securities-act-title-8-chapter-6-article-6/2024-02-01T10:33:57-06:00https://asc.alabama.gov/statute-2/alabama-securities-act-title-8-chapter-6-article-7/2024-02-01T10:34:30-06:00https://asc.alabama.gov/statute-2/alabama-securities-act-title-8-chapter-6-article-8/2024-02-01T10:34:38-06:00https://asc.alabama.gov/statute-2/alabama-securities-act-title-8-section-7a/2024-02-01T10:34:44-06:00https://asc.alabama.gov/for-industry/registration/investment-advisers-state-filing/contact-agreement-guidelines/2024-01-25T11:27:21-06:00https://asc.alabama.gov/form-submitted/2024-01-24T09:07:07-06:00https://asc.alabama.gov/for-investors/cyrpto-scams/2024-03-26T16:52:50-05:00https://asc.alabama.gov/for-investors/commodities/2024-03-20T08:59:11-05:00https://asc.alabama.gov/for-investors/promissory-notes/2024-03-20T08:57:07-05:00https://asc.alabama.gov/for-investors/investor-education/scam-alert/2025-06-13T13:18:53-05:00https://asc.alabama.gov/for-investors/she-can/2026-03-10T08:27:11-05:00https://asc.alabama.gov/for-investors/podcasts/2026-03-23T12:13:34-05:00https://asc.alabama.gov/statute-2/alabama-securities-commission-order-on-exemption-of-private-fund-advisers/2025-07-14T16:00:48-05:00https://asc.alabama.gov/for-industry/financial-innovation/2026-03-02T16:01:15-06:00https://asc.alabama.gov/for-industry/financial-innovation/resourcesforcapitalraising/2026-03-19T16:06:19-05:00https://asc.alabama.gov/financial-innovation-draft-2/2026-03-04T10:47:50-06:00https://asc.alabama.gov/home3/2026-03-02T16:05:22-06:00https://asc.alabama.gov/about/commission-members/2025-07-18T14:06:44-05:00https://asc.alabama.gov/statutes-regulations-policy-statements-2-20-206-draft/2026-02-20T14:17:05-06:00https://asc.alabama.gov/statutes/2026-02-20T16:40:32-06:00https://asc.alabama.gov/statutes/lisas-law/2026-02-24T08:01:10-06:00https://asc.alabama.gov/for-industry/financial-exploitation-division/2026-03-05T15:19:46-06:00https://asc.alabama.gov/press-room/financial-exploitation-newsletters/2026-03-23T12:57:43-05:00https://asc.alabama.gov/press-room/asc-newsletters/2026-03-03T09:47:23-06:00https://asc.alabama.gov/press-room/asc-newsletters2/2026-03-05T15:22:00-06:00https://asc.alabama.gov/pooled-investment-fund-information/2026-03-19T16:03:02-05:00https://asc.alabama.gov/for-industry/financial-innovation/resourcesforcapitalraising/pooled-investment-fund-information/2026-03-18T13:15:51-05:00https://asc.alabama.gov/home2/2026-04-02T13:20:12-05:00