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
9/6/2019 - Greedy Fraudsters Take Advantage of Grandparents
8/26/2019 - Blalack sentenced to 15 years for cheating five Alabama investors out of $74,500
8/22/2019 - Commissioner McCain Elected to Serve as Chairwoman of the Alabama Securities Commission
8/13/2019 - Troy, Alabama resident Jesse Morgan Hinson, Arrested for Alleged Securities Law Violations in Lee and Montgomery, Alabama Counties
8/8/2019 - Florida Resident, Harry James Walker, Pleads Guilty to Securities Fraud in Autauga County
8/7/2019 - Alabama Securities Commission Updates Coordinated Crypto Crackdown
Key Events and Information
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 Issue Advisory on Opportunity Zone Investments
Opportunity Zone Investments Advisory
Alabama Securities Commission Issue Advisory on Initial Loan Procurements
Initial Loan Procurements - Crowdfunding Meets Blockchain
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