State Codes and Statutes

Statutes > Alabama > Title8 > Chapter6

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,
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.
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.

State Codes and Statutes

Statutes > Alabama > Title8 > Chapter6

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,
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.
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.

State Codes and Statutes

State Codes and Statutes

Statutes > Alabama > Title8 > Chapter6

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,
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.
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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