CONTACT US
Director
Enforcement
About Enforcement
Complaint Procedure
Administrative Actions
Legal
Recent Legislation
Protection of Vulnerable Adults from Financial Exploitation Act
Statutes, Regulations and Policies
Registration
Registration Filing Requirements
Auditing
FAQ
Examination Process
IA Compliance Materials
Deficiencies and Best Practices
Top 5 Deficiencies
Best Practices
Broker Dealers
Investment Advisors
Education
Investor Education
Military Communities
Helpful Military Websites
Websites for Investors
Presentation Request
News Publications
News Articles
News Archives
Annual Reports
Newsletters
Auction Rate Settlements
Investor Alerts
Social Media
Facebook
Twitter
About
Issued Orders
Filing Requirements
Stock and Bond Research
Helpful Websites
Latest News
6/18/2019 - Alabama Securities Commission Recognizes World Elder Abuse Awareness Day and Conducts Outreach Events Year-Round
6/12/2019 - Governor Ivey Signs Bill to Help Alabama Victims of Theft by Deception Receive Restitution
5/13/2019 - Purported Movie Producer Arrested in Utah on Shelby County, Alabama Indictment for Alleged Securities Fraud
5/13/2019 - MADISON COUNTY, ALABAMA BUSINESS OWNER, Edwin Eugene Blalack, Pleads Guilty to SECURITIES FRAUD IN Athletic Enhancement Performance Scam
5/6/2019 - Alabama Securities Commission Welcomes New Commissioner
4/16/2019 - Judy Morehead Sentenced to 5 Years for Securities Scheme that Victimized an Elderly Woman
Key Events and Information
Alabama Securities Commission Issues Advisory on Robo-Advisers
Are You An Informed Investor? (Robo-Advisers)
Alabama Joins in National "Facts on Saving and Investing" Investor Education Initiative
"Facts on Saving and Investing" Proclamation
New Mandatory Reporting Requirements for Broker-Dealers and Investment Advisers -
Vulnerable Adults Financial Exploittion Act
BITCOIN Advisory
Protect Alabama Troops