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Latest News
9/20/2016 - Tallageda County, Alabama Man (Jason Todd Caudle) Pleads Guilty to Securities Fraud
8/29/2016 - INFORMED INVESTOR ALERT -- EB-5 Fraud: Immigrant Investors Beware
7/13/2016 - "When I'm 65" Documentary About Saving and Investing for Retirement to Air July 17th on APT
7/6/2016 - Banks, Alabama Man (Terry Earl Hester) Indicted for Alleged Securities Fraud
6/28/2016 - Arizona Man (James Friend Liebes) Indicted for Alleged Securities Fraud in Tuscaloosa County
6/15/2016 - ALABAMA SECURITIES COMMISSION RECOGNIZES WORLD ELDER ABUSE AWARENESS DAY BY ASKING CITIZENS TO WATCH FOR SIGNS OF ELDER FINANCIAL EXPLOITATION
Key Events and Information
New Mandatory Reporting Requirements for Broker-Dealers and Investment Advisers
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Statement of Policy on Registration Under Sale of Checks Act - 07/11/2016
Proposed Rule for federal Regulation Crowdfunding
Crowdfunding: Alabama Filing Guidelines and Presentation
BITCOIN Advisory
Protect Alabama Troops