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
Legislative and Audit Reports
Newsletters
Auction Rate Settlements
Investor Alerts
Social Media
Facebook
Twitter
About
Issued Orders
Filing Requirements
Stock and Bond Research
Helpful Websites
Latest News
12/9/2019 - Faith-Based Board Game Swindler Busted by the Alabama Securities Commission
11/26/2019 - Another Spider in the Synergy Finance Web of Deceit Swept Away by the Alabama Securities Commission (ASC)
11/12/2019 - AFFINITY FRAUD: How Blind Trust Can Break The Bank
10/23/2019 - Alabama Securities Commission introduces four free investor education brochures developed by the Investor Protection Trust and Kiplinger’s Washington Editors
10/4/2019 - CRYPTO-CURRENCY INVESTOR ALERT: Alabama Securities Commission Warns Alabamians of another Potential Scam
10/1/2019 - Alabama Resident, Michael Holmes, Pleads Guilty to Securities Fraud in Tuscaloosa County
Key Events and Information
Investor Education Newsletter - November 2019
CRYPTO-CURRENCY Investor ALERT
Alabama Securities Commission Updates Coordinated Crypto Crackdown
Select to View Video on Common Crypto Investment Schemes
Alabama Securities Commission Issue Advisory on Contracts for Difference
Contracts For Difference
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
BITCOIN Advisory
Protect Alabama Troops