830. Alabama Securities Commission
Chapter 830-X-1. Organization and General Operation
- Ala. Admin. Code r. 830-X-1-.01 Organization
- Ala. Admin. Code r. 830-X-1-.02 Industrial Revenue Development Bond Notification Act
- Ala. Admin. Code r. 830-X-1-.03 Sale of Checks Act
- Ala. Admin. Code r. 830-X-1-.04 Commission Members
- Ala. Admin. Code r. 830-X-1-.05 Formal and Informal Procedures
- Ala. Admin. Code r. 830-X-1-.06 Index to Forms Prescribed By the Commission
- Ala. Admin. Code r. 830-X-1-.07 Petitions to Initiate Rule-Making Proceedings
- Ala. Admin. Code r. 830-X-1-.08 Petition For Declaratory Rulings
Chapter 830-X-2. General Rules
- Ala. Admin. Code r. 830-X-2-.01 References to Rules and Regulations and to the Act, Or to Portions Thereof
- Ala. Admin. Code r. 830-X-2-.02 Office Hours of the Commission
- Ala. Admin. Code r. 830-X-2-.03 Filing of Material With the Commission
- Ala. Admin. Code r. 830-X-2-.04 Nondisclosure of Information Obtained In the Course of Examinations and Investigations
- Ala. Admin. Code r. 830-X-2-.05 Definitions - Unless Otherwise Expressly Provided
- Ala. Admin. Code r. 830-X-2-.06 Advertising and Sales Literature
- Ala. Admin. Code r. 830-X-2-.07 Applications
Chapter 830-X-3. Registration of Dealers, Agents, Investment Advisers and Investment Adviser Representatives
- Ala. Admin. Code r. 830-X-3-.01 Application For Registration As a Dealer
- Ala. Admin. Code r. 830-X-3-.02 Application For Registration As an Agent
- Ala. Admin. Code r. 830-X-3-.03 Application For Registration As an Investment Adviser
- Ala. Admin. Code r. 830-X-3-.04 Application For Registration As an Investment Adviser Representative
- Ala. Admin. Code r. 830-X-3-.05 Statement of Financial Condition
- Ala. Admin. Code r. 830-X-3-.06 Net Capital Required
- Ala. Admin. Code r. 830-X-3-.07 Repealed
- Ala. Admin. Code r. 830-X-3-.08 Written Examinations
- Ala. Admin. Code r. 830-X-3-.09 Dual Registration
- Ala. Admin. Code r. 830-X-3-.10 Notice of Civil, Criminal Or Administrative Action Required
- Ala. Admin. Code r. 830-X-3-.11 Repealed
- Ala. Admin. Code r. 830-X-3-.12 Suitability of Recommendations
- Ala. Admin. Code r. 830-X-3-.13 Supervision of Associated Persons
- Ala. Admin. Code r. 830-X-3-.14 Records Required of Registered Dealers
- Ala. Admin. Code r. 830-X-3-.15 Records to Be Preserved By Registered Dealers
- Ala. Admin. Code r. 830-X-3-.16 Record-Keeping Requirements For Investment Advisers
- Ala. Admin. Code r. 830-X-3-.17 Disclosure Requirements For Investment Advisers
- Ala. Admin. Code r. 830-X-3-.18 "Twisting" Or "Churning" Prohibited
- Ala. Admin. Code r. 830-X-3-.19 Custody of Client Funds Or Securities By Investment Advisers
- Ala. Admin. Code r. 830-X-3-.20 Agency Cross Transactions
- Ala. Admin. Code r. 830-X-3-.21 Dishonest Or Unethical Practices By Investment Advisers
- Ala. Admin. Code r. 830-X-3-.22 Advertisements By Investment Advisers
- Ala. Admin. Code r. 830-X-3-.23 Change In Name Or Legal Entity
- Ala. Admin. Code r. 830-X-3-.24 Notice of Changes of Officers, Partners, Directors Or Controlling Persons
- Ala. Admin. Code r. 830-X-3-.25 Branch Offices
- Ala. Admin. Code r. 830-X-3-.26 Termination of Registration As Dealer, Investment Adviser, Agent, Or Investment Adviser Representative
- Ala. Admin. Code r. 830-X-3-.27 Use of Certain Names Prohibited
- Ala. Admin. Code r. 830-X-3-.28 The Use of Senior-Specific Certifications and Professional Designations
Chapter 830-X-4. Registration of Securities
- Ala. Admin. Code r. 830-X-4-.01 Applications
- Ala. Admin. Code r. 830-X-4-.02 Filing of Prospectus
- Ala. Admin. Code r. 830-X-4-.03 Content and Form of Prospectus
- Ala. Admin. Code r. 830-X-4-.04 Termination Date of Prospectus
- Ala. Admin. Code r. 830-X-4-.05 Circulation of Preliminary Prospectuses
- Ala. Admin. Code r. 830-X-4-.06 Financial Statements
- Ala. Admin. Code r. 830-X-4-.07 Promoters Equity Investment Ratio
- Ala. Admin. Code r. 830-X-4-.08 Dilution
- Ala. Admin. Code r. 830-X-4-.09 Expense Limitation
- Ala. Admin. Code r. 830-X-4-.10 Preferred Stock Or Debt Securities
- Ala. Admin. Code r. 830-X-4-.11 Escrow of Proceeds
- Ala. Admin. Code r. 830-X-4-.12 Escrow of Securities
- Ala. Admin. Code r. 830-X-4-.13 Capital Structure of Unseasoned Corporations
- Ala. Admin. Code r. 830-X-4-.14 Options Or Warrants Granted Underwriters
- Ala. Admin. Code r. 830-X-4-.15 Options and Warrants to Officer, Employees and Others
- Ala. Admin. Code r. 830-X-4-.16 Independent Transfer Agent And/or Registrar
- Ala. Admin. Code r. 830-X-4-.17 Credit Sales Prohibited
- Ala. Admin. Code r. 830-X-4-.18 Consents of Experts
- Ala. Admin. Code r. 830-X-4-.19 Price Escalation
- Ala. Admin. Code r. 830-X-4-.20 Separate Registration of Portfolios and Series Issued By Open-End Management Investment Companies
- Ala. Admin. Code r. 830-X-4-.21 Nasaa Guidelines
- Ala. Admin. Code r. 830-X-4-.22 Amendments
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-7a
Chapter 830-X-8. Industrial Revenue Bonds