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Latest News
4/6/2018 - Colbert County Man Arrested for Alleged Securities Fraud and Financial Exploitation of the Elderly
3/19/2018 - DreamVision Promoter Pleads Guilty to Securities Fraud
3/7/2018 - INFORMED INVESTOR ADVISORY - Are Unicorns a Myth?
1/12/2018 - Alabama Securities Commission Appoints Acting Deputy Director and Announces New Chief Litigation Counsel
12/20/2017 - Jefferson County, Alabama Man Indicted for Alleged Securities Fraud
12/14/2017 - ALABAMA SECURITIES COMMISSION ANNOUNCES TOP INVESTOR THREATS Promissory Notes, Real Estate Investments and Ponzi Schemes Top the List
Key Events and Information
New Mandatory Reporting Requirements for Broker-Dealers and Investment Advisers
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The Alabama Monetary Transmission Act will replace the current Sale of Checks Act on August 1, 2017.
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