There is a newer version of the Code of Alabama
2012 Code of Alabama
Title 8 - COMMERCIAL LAW AND CONSUMER PROTECTION.
Chapter 6 - SECURITIES.
Article 1 General Provisions.- 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.
- Section 8-6-50 - Created; duties generally.
- Section 8-6-51 - Membership; qualifications and appointment of commissioners; use or disclosure of confidential information by commissioners, employees, etc.; civil liability of commissioners.
- Section 8-6-52 - Terms of office of appointed members; filling of vacancies; reappointment of members.
- Section 8-6-53 - Selection of chair; rules for proceedings; meetings; quorum; records and reports; access to offices and records; exercise of powers of director.
- Section 8-6-54 - Compensation of members.
- Section 8-6-55 - Director - Appointment; duties generally.
- Section 8-6-56 - Director - Qualifications; salary; interest in banks, etc., prohibited.
- Section 8-6-57 - Deputy director.
- Section 8-6-58 - Personnel.
- Section 8-6-59 - Bonds of director and employees.
- Section 8-6-60 - Place of office.
Article 4 Ownership by Minors.
- Section 8-6-90 - Short title.
- Section 8-6-91 - Definitions.
- Section 8-6-92 - Liability of bank, transfer agent, etc., for treating minor as having capacity to exercise security rights; presumption that holder not minor.
- Section 8-6-93 - Minor may not disaffirm security transaction unless prior written notice of minority given.
- Section 8-6-94 - Right of minor to receive dividends, etc.
- Section 8-6-95 - Certain laws not affected by article.
- Section 8-6-110 - Definitions.
- Section 8-6-111 - Legislative findings; purpose of article.
- Section 8-6-112 - Powers of director of Securities Commission.
- Section 8-6-113 - Powers of Securities Commission.
- Section 8-6-115 - Notifications of intent to issue bonds.
- Section 8-6-116 - Action by director upon receipt of notification; stop orders.
- Section 8-6-117 - Appeals or references to Securities Commission.
- Section 8-6-118 - Proceedings before Securities Commission.
- Section 8-6-119 - Judicial validation proceedings.
- Section 8-6-120 - Certificate of notification; representation that industrial revenue bonds have been approved prohibited.
- Section 8-6-121 - Criminal penalties.
- Section 8-6-122 - Article remedial; certain statutes not repealed.
- Section 8-6-140 - Definitions.
- Section 8-6-141 - Registration - Beneficiary form.
- Section 8-6-142 - Registration - Authorization.
- Section 8-6-143 - Registration - Designation of a beneficiary.
- Section 8-6-144 - Registration - Applicable language.
- Section 8-6-145 - Designation of TOD; registration cancelled or changed.
- Section 8-6-146 - Death of owner.
- Section 8-6-147 - Assent of owner; discharge from claims.
- Section 8-6-148 - Transfer on death.
- Section 8-6-149 - Terms and conditions of registration.
- Section 8-6-150 - Short title; construction.
- Section 8-6-151 - Application.
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