General Provisions.

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  2. Code of Alabama
  3. Commercial Law and Consumer Protection.
  4. Securities.
  5. General Provisions.

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Section
8-6-1

Short Title.

Section
8-6-2

Definitions.

Section
8-6-3

Registration and Bonds of Dealers, Agents, Investment Advisers, Etc.

Section
8-6-4

Registration of Securities - Required; Exceptions.

Section
8-6-5

Registration of Securities - Registration by Notification.

Section
8-6-6

Registration of Securities - Registration of Certain Securities by Coordination.

Section
8-6-7

Registration of Securities - Registration by Qualification.

Section
8-6-8

Registration of Securities - Registration Statement; Conditions Precedent; Bond; Notice of Action; Fees; Quarterly Reports and Financial Statements; Discharge From Supervision.

Section
8-6-9

Registration of Securities - Denial, Suspension and Revocation of Registration.

Section
8-6-10

Registration of Securities - Exempt Securities.

Section
8-6-11

Registration of Securities - Exempt Transactions.

Section
8-6-12

Registration of Securities - Applicability of Provisions of Article; Consent to Service of Process on Secretary of State.

Section
8-6-14

Filing or Registration Not Finding of Truth, Completeness, etc., of Documents; Representations Concerning Effect of Registration or Exemption.

Section
8-6-15

Investigations and Subpoenas by Commission.

Section
8-6-16

Administrative Cease and Desist Authority to Commission; Injunctive Relief; Appointment of Receivers or Conservators for Defendants or Defendants' Assets; Court Ordered Rescission, Restitution, or Disgorgement for Violations.

Section
8-6-17

Prohibited Acts Regarding Offer, Sale, or Purchase of Securities.

Section
8-6-18

Criminal Penalties for Violations of Article; Enforcement; Scienter.

Section
8-6-19

Civil Liabilities of Sellers, Agents, etc.; Remedies of Purchasers.

Section
8-6-21

Commission Authorized to Swear Out Warrants of Arrest; Liability of Commission for Warrant.

Section
8-6-22

Duties of Director; Director Empowered to Swear Out Warrants of Arrest; Liability of Director for Warrant.

Section
8-6-23

Making, Amending, and Rescinding Rules and Prescribing Forms by Commission.

Section
8-6-24

Liability for Acts Done or Omitted in Good Faith Under Rules, Forms, or Orders.

Section
8-6-25

Hearings to Be Public; Requests for Private Hearings.

Section
8-6-26

Document Deemed Filed When Received.

Section
8-6-27

Commission to Keep Register; Register to Be Open for Public Inspection.

Section
8-6-28

Commission to Furnish Copies of Register Entries or Documents; Certified Copy Deemed Prima Facie Evidence.

Section
8-6-29

Interpretative Opinions by Commission.

Section
8-6-30

Burden of Proving Exemption or Exception From Definition.

Section
8-6-31

Commission May Issue Warnings to Public and Publish Information Regarding Orders.

Section
8-6-32

Party Aggrieved by Order Entitled to Hearing Before Commission; Appeals From Action of Commission.

Section
8-6-33

Disposition of Revenue.