Statutes, Regulations and Policies
Registration Filing Requirements
IA Compliance Materials
Deficiencies and Best Practices
Top 5 Deficiencies
Websites for Investors
Proposed Rule Changes
Auction Rate Settlements
Stock and Bond Research
10/20/2014 - Alabama Securities Commission Announces IARD System Fee Waiver for Investment Adviser Firms
9/23/2014 - Former Houston County, Alabama Attorney (Frederick Mitchell McNab) Indicted, Arrested for Alleged Violations of Alabama Securities Act.
7/22/2014 - St. Augustine, Florida Resident (Gregory James Botolino) Indicted in Madison County, Alabama for Alleged Violations of Alabama Securities Act.
7/21/2014 - Alabama Securities Commission Director, Joseph Borg, Appointed to FINRA Arbitration Task Force
7/8/2014 - Atlanta, Georgia Resident (Hendrickx Toussaint) Indicted in Madison County, Alabama for Alleged Violations of Alabama Securities Act.
7/2/2014 - Russell County Man (Jose Roberto Tores) Pleads Guilty to Violations of Alabama Securities Act.
Key Events and Information
ASC Director Appointed to FINRA Arbitration Task Force
Investment Adviser Switch
Auction Rate Securities Settlement
Protect Alabama Troops