There is a newer version of this Article
2019 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.
Disclaimer: These codes may not be the most recent version. Alabama may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.