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STATUTES, REGULATIONS &
 COMMISSION POLICIES

• Alabama Securities Act  (Chapter 6)
  Article 1  General Provisions
  Article 2  Securities Commission
  Article 3  Fiduciary Security Transfers
  Article 4  Ownership by Minors
  Article 5  Pre-Issuance Procedure for Industrial Revenue Bonds
    

• Sale of Checks Act  (Chapter 7)
  Sale of Checks
    

• Rules of the Alabama Securities Commission (Rule Changes)  (Proposed Changes)
  Chapter 830-X-1 Organization and General Operation
  Chapter 830-X-2 General Rules
  Chapter 830-X-3 Registration of Dealers, Agents, Investment Advisers and Investment
                              Adviser Representatives
  Chapter 830-X-4 Registration of Securities
  Chapter 830-X-5 Reserved
  Chapter 830-X-6 Exempt Securities and Exempt Transactions
  Chapter 830-X-7 Sale of Checks Act
  Chapter 830-X-8 Industrial Revenue Bonds

• Policy Statements
  Order of the Commission (12/19/2012) - Provision for the Implementation of Performance Fees
  Policy Statement Regarding the Extension of the Foreign Stocks Exemption
  Emergency Order Due to Hurricane Katrina
  Policy Regarding Registered Broker-Dealer Agents and Investment Adviser Representatives Called to Active Duty in the United States Military.
  Alabama Securities Commission Policy Statement
  Canadian Cross Border Trading
  Change in Legal Entity from a Limited Partnership or Corporation to a Limited Liability
          Company
  Exempting Certain Offers of Securities made on the Internet from Securities Registration
  Investment Adviser Registration Depository (IARD)
  Limited Offering Exemption Filings (Rules 506, 505, 504)
  Notice Filings for Mutual Funds
  Using the Internet for General Dissemination of Information on Products and Services
  Registration Exemption Pursuant to Section 8-6-10(10) concerning qualification of plans complying with Rule 701 and Section 3(b)
  Viatical Settlement Contracts
  Sales of Securities of DE NOVO Banks

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