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THE
ASC MISSION IS TO PROTECT INVESTORS FROM
SECURITIES FRAUD AND PRESERVE LEGITIMATE CAPITAL
MARKETS IN ALABAMA. |
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Dear
Investor,
The
Alabama Securities Commission (ASC) regulates the securities
industry in Alabama.
ASC
is committed to protect investors against securities fraud and
provides aggressive enforcement actions against any firm or
individual who has violated the Alabama Securities Act or other
state and federal statutes to the detriment of Alabama investors.
The Alabama Securities Act provides for the licensing and regulation
of securities broker-dealers, agents, investment advisers and
investment adviser representatives, and financial planners.
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ASC
regulates the individual securities through registration.
All of the above entities must be registered with the ASC to
conduct business in Alabama unless subject to a statutory exemption
from registration.
ASC promotes financial literacy to all citizens and students in
Alabama by providing presentations, free information and access to
curricula for financial literacy education.
Prepare
yourself to make an informed investment decision! Contact the Alabama Securities Commission to determine if
the representative and firm with whom you wish to do business are
properly registered in Alabama.
Also, the Commission staff can provide free information
relating to the disciplinary history (crime, complaints, civil law
suits, etc), educational background and work experience of a firm or
representative.
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