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Latest News
1/14/2019 - State Securities Regulators are Unaffected by the Partial Shutdown of the Federal Government.
1/11/2019 - Hoover Resident, Kenneth Fitzgerald Lewis, to Repay Over $47,000 after Securities Fraud Plea
1/2/2019 - Limestone County Resident, Rodney Jackson, Arrested for Alleged Financial Exploitation of the Elderly
12/12/2018 - Insurance Agent, Ronald Warren Powell, Pleads Guilty to Securities and Insurance Fraud in Colbert County
11/26/2018 - Alabama Securities Commission Announces "IARD System Fee Waiver for Investment Adviser Firms Reduced System Fees Continued for Investment Adviser Representatives
10/15/2018 - Marijuana-Related Investments: Greener Pastures or Just Another Scam?
Key Events and Information
The Alabama Securities Commission has moved. Please Select for New Address.
ASC Policy Addressing Issuers of a Primary Offering of Securities May Be Considered a Seller (Section 8-6-19)
Notice of Fee Changes Effective June 1, 2018
New Mandatory Reporting Requirements for Broker-Dealers and Investment Advisers -
Vulnerable Adults Financial Exploittion Act
The Alabama Monetary Transmission Act will replace the current Sale of Checks Act on August 1, 2017.
BITCOIN Advisory
Protect Alabama Troops