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Latest News
3/20/2019 - CRYPTO-CURRENCY INVESTOR ALERT: Securities Commission Issues Five Cease and Desist Orders to Protect Investors.
2/27/2019 - Alleged Securities Fraud Defendant Arrested in Miami, FL and Transported to Shelby County, AL
2/25/2019 - Alabama Securities Commission Participates in National Investor Awareness Campaigns
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.
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