Alabama Code (Last Updated: November 28, 2014) |
Title8 COMMERCIAL LAW AND CONSUMER PROTECTION. |
Chapter6. SECURITIES. |
Article 1. General Provisions. |
§ 8-6-1. Short title. |
§ 8-6-2. Definitions. |
§ 8-6-3. Registration and bonds of dealers, agents, investment advisers, etc. |
§ 8-6-4. Registration of securities - Required; exceptions. |
§ 8-6-5. Registration of securities - Registration by notification. |
§ 8-6-6. Registration of securities - Registration of certain securities by coordination. |
§ 8-6-7. Registration of securities - Registration by qualification. |
§ 8-6-8. Registration of securities - Registration statement; conditions precedent; bond; notice of action; fees; quarterly reports and financial statements; discharge from supervision. |
§ 8-6-9. Registration of securities - Denial, suspension and revocation of registration. |
§ 8-6-10. Registration of securities - Exempt securities. |
§ 8-6-11. Registration of securities - Exempt transactions. |
§ 8-6-12. Registration of securities - Applicability of provisions of article; consent to service of process on Secretary of State. |
§ 8-6-14. Filing or registration not finding of truth, completeness, etc., of documents; representations concerning effect of registration or exemption. |
§ 8-6-15. Investigations and subpoenas by commission. |
§ 8-6-17. Prohibited acts regarding offer, sale, or purchase of securities. |
§ 8-6-18. Criminal penalties for violations of article; enforcement; scienter. |
§ 8-6-19. Civil liabilities of sellers, agents, etc.; remedies of purchasers. |
§ 8-6-21. Commission authorized to swear out warrants of arrest; liability of commission for warrant. |
§ 8-6-22. Duties of director; director empowered to swear out warrants of arrest; liability of director for warrant. |
§ 8-6-23. Making, amending, and rescinding rules and prescribing forms by commission. |
§ 8-6-24. Liability for acts done or omitted in good faith under rules, forms, or orders. |
§ 8-6-25. Hearings to be public; requests for private hearings. |
§ 8-6-26. Document deemed filed when received. |
§ 8-6-27. Commission to keep register; register to be open for public inspection. |
§ 8-6-28. Commission to furnish copies of register entries or documents; certified copy deemed prima facie evidence. |
§ 8-6-29. Interpretative opinions by commission. |
§ 8-6-30. Burden of proving exemption or exception from definition. |
§ 8-6-31. Commission may issue warnings to public and publish information regarding orders. |
§ 8-6-32. Party aggrieved by order entitled to hearing before commission; appeals from action of commission. |
§ 8-6-33. Disposition of revenue. |
Article 2. Securities Commission. |
§ 8-6-50. Created; duties generally. |
§ 8-6-51. Membership; qualifications and appointment of commissioners; use or disclosure of confidential information by commissioners, employees, etc.; civil liability of commissioners. |
§ 8-6-52. Terms of office of appointed members; filling of vacancies; reappointment of members. |
§ 8-6-53. Selection of chair; rules for proceedings; meetings; quorum; records and reports; access to offices and records; exercise of powers of director. |
§ 8-6-54. Compensation of members. |
§ 8-6-55. Director - Appointment; duties generally. |
§ 8-6-56. Director - Qualifications; salary; interest in banks, etc., prohibited. |
§ 8-6-57. Deputy director. |
§ 8-6-58. Personnel. |
§ 8-6-59. Bonds of director and employees. |
§ 8-6-60. Place of office. |
Article 3. Fiduciary Security Transfers. |
Article 4. Ownership by Minors. |
§ 8-6-90. Short title. |
§ 8-6-91. Definitions. |
§ 8-6-92. Liability of bank, transfer agent, etc., for treating minor as having capacity to exercise security rights; presumption that holder not minor. |
§ 8-6-93. Minor may not disaffirm security transaction unless prior written notice of minority given. |
§ 8-6-94. Right of minor to receive dividends, etc. |
§ 8-6-95. Certain laws not affected by article. |
Article 5. Pre-Issuance Procedure for Industrial Revenue Bonds. |
§ 8-6-110. Definitions. |
§ 8-6-111. Legislative findings; purpose of article. |
§ 8-6-112. Powers of director of Securities Commission. |
§ 8-6-113. Powers of Securities Commission. |
§ 8-6-115. Notifications of intent to issue bonds. |
§ 8-6-116. Action by director upon receipt of notification; stop orders. |
§ 8-6-117. Appeals or references to Securities Commission. |
§ 8-6-118. Proceedings before Securities Commission. |
§ 8-6-119. Judicial validation proceedings. |
§ 8-6-120. Certificate of notification; representation that industrial revenue bonds have been approved prohibited. |
§ 8-6-121. Criminal penalties. |
§ 8-6-122. Article remedial; certain statutes not repealed. |
Article 6. Uniform Transfer On Death Security Registration Act. |
§ 8-6-140. Definitions. |
§ 8-6-141. Registration - Beneficiary form. |
§ 8-6-142. Registration - Authorization. |
§ 8-6-143. Registration - Designation of a beneficiary. |
§ 8-6-144. Registration - Applicable language. |
§ 8-6-145. Designation of TOD; registration cancelled or changed. |
§ 8-6-146. Death of owner. |
§ 8-6-147. Assent of owner; discharge from claims. |
§ 8-6-148. Transfer on death. |
§ 8-6-149. Terms and conditions of registration. |
§ 8-6-150. Short title; construction. |
§ 8-6-151. Application. |