Protection of Vulnerable Adults from Financial Exploitation Act
Statutes, Regulations and Policies
Registration Filing Requirements
IA Compliance Materials
Deficiencies and Best Practices
Top 5 Deficiencies
Helpful Military Websites
Websites for Investors
Auction Rate Settlements
Alabama Securities Commission and Department of Human Resources
Report of Adult Suspected to be Financially Exploited
Please fill out and submit using the correct email address or fax number at the bottom of the form.
Click here to download a MS Word (.docx) version of the form that can be filled in and emailed or faxed.
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A copy of the Act can be found here for printing and/or download:
to assist firms with their reporting obligations.
A copy of the press release can be found here:
Protection of Vulnerable Adults from Financial Exploitation Act passed.
Please feel free to contact us should you have any questions, (334)242-2984 or 1-800-222-1253. For questions concerning broker-dealers,
please contact Lisa Tolar, Registration Manager, or Investment Advisors, please contact Rena Davis, Audit Manager. Legal questions may
be directed to Amanda Senn, General Counsel. For policy related questions, please contact Ed Reed, Deputy Director of Administration,
or Joseph Borg, Director.