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Latest News
2/13/2019 - Judy Morehead Pleads Guilty to Securities Fraud in Henry County
2/7/2019 - California Resident, Terrell Chambers, Pleads Guilty to Theft By Deception.
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
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