8-7A-15
Section 8-7A-15 Suspension and revocation. (a) The commission, by order, may suspend or revoke a license or order a licensee to revoke the designation of an authorized delegate, with or without prior notice, if the commission finds that such an order is in the best interest of the public, and any of the following circumstances exist: (1) The licensee has violated any provision of this chapter or a rule adopted or an order issued under this chapter. (2) The licensee, or any authorized delegate, does not cooperate with an examination or investigation by the commission. (3) The licensee, or any authorized delegate, engaged in fraud, intentional misrepresentation, or gross negligence. (4) An authorized delegate is convicted of a violation of a state or federal anti-money laundering statute, or willfully violates a rule adopted or an order issued under this chapter. (5) The competence, experience, character, or general fitness of the licensee, authorized delegate, or a control person of a...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/8-7A-15.htm - 3K - Match Info - Similar pages
17-6-46
Section 17-6-46 Instructional posters. (a) The judge of probate shall cause to be printed in large type posters of instructions for the guidance of electors in preparing their ballots. Instructional information shall not show partiality to any political party or candidate. The information shall include: (1) A sample version of the ballot that will be used for that election. (2) Information regarding the date of the election and the hours during which polling places will be open. (3) Instructions on how to vote, including how to cast a vote and how to cast a provisional ballot. (4) Instructions for mail-in registrants and first-time voters registering and voting for the first time after January 1, 2003. (5) General information on voting rights under applicable federal and state laws, including information on the right of an individual to cast a provisional ballot and instructions on how to contact the appropriate officials if these rights are alleged to have been violated. (6) General...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/17-6-46.htm - 2K - Match Info - Similar pages
24-1A-4
Section 24-1A-4 Members, officers and directors; appointment; qualifications; meetings of board and public notice thereof; salaries; record of proceedings; copies of proceedings as evidence; permanent maintenance of official record; members, officers, etc., not personally liable; legislative oversight committee established; composition; appointment; expenses. (a) The applicants named in the application, being the seven initial appointees of the Governor by congressional districts, the Director of Finance ex officio and the Superintendent of Banks ex officio, and their respective successors in office, together with the State Treasurer ex officio, an appointee of the Governor from the state at large and the appointees of the Speaker of the House and the Lieutenant Governor, and their respective successors in office, shall constitute the members of the authority. The Governor shall, as soon as convenient after the passage of this chapter, appoint one person from each of the now existing...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/24-1A-4.htm - 7K - Match Info - Similar pages
5-19-1
this chapter and the meaning and application of "finance charge" under the above-referenced Federal Truth-in-Lending Act, regulations and Official Staff Commentary, as the same may be amended from time to time. (2) CONSUMER.When used as an adjective with reference to a credit transaction, characterizes the credit transaction as one in which the party to whom credit is extended is a natural person and the money, property, or services which are the subject of the transaction are primarily for personal, family or household purposes. (3) CREDITOR. A person who regularly extends or arranges for the extension of credit for which the payment of a finance charge is required, whether in connection with loans, sales of property or services, or otherwise. The provisions of this chapter apply to any such creditor irrespective of the creditor's status as a natural person or any type of organization. A person is a creditor only if the person extended or arranged for the extension of credit more than...
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5-26-13
Section 5-26-13 Enforcement authorities, violations, and penalties. (1) In order to ensure the effective supervision and enforcement of this chapter the supervisor may: (a) Deny, suspend, revoke, condition, or decline to renew a license for a violation of this chapter, rules or regulations issued under this chapter or order or directive entered under this chapter, or for failure to comply with any other state or federal law, including the rules and regulations thereunder, applicable to any business authorized or conducted under this act. (b) Deny, suspend, revoke, condition, or decline to renew a license if an applicant or licensee fails at any time to meet the requirements of Section 5-26-6 or Section 5-26-9, or withholds information or makes a material misstatement in an application for a license or renewal of a license. (c) Order restitution against persons subject to this chapter for violations of this chapter. (d) Impose fines on persons subject to this chapter pursuant to...
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34-8A-16
outside the area of their training, experience, or competence. (7) Is legally adjudicated mentally incompetent, the record of the adjudication being conclusive evidence thereof. (8) Has willfully or negligently violated any of the provisions of this chapter or any of the rules and regulations adopted thereunder. (9) Has been practicing as a counselor without a license. (b)(1) Notice of denial, revocation, suspension, or disciplinary action is required to be sent by registered mail or personal service setting forth the particular reasons for the proposed action and fixing a date not less than 30 days nor more than 60 days from the date of the mailing or service, at which time the applicant, licentiate, or associate shall be given an opportunity for a prompt and fair hearing. The written notice shall be sent to the last known address of the person, but the nonappearance of the person shall not prevent the hearing. The hearing shall be conducted by the board by means of sworn,...
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8-6-11
Section 8-6-11 Registration of securities - Exempt transactions. (a) Except as hereinafter in this section expressly provided, Sections 8-6-3 through 8-6-9 shall not apply to any of the following transactions: (1) Any isolated nonissuer transaction, whether effected through a dealer or not; (2) Any nonissuer transaction in an outstanding security by a registered dealer if: a. The issuer has a class of securities subject to registration under Section 12 of the Securities Exchange Act of 1934 and has been subject to the reporting requirements of Sections 13 or 15(d) of the Securities Exchange Act of 1934 for not less than 180 days before the transaction; or has filed and maintained with the commission for not less than 180 days before the transaction information, in such form as the commission, by rule, specifies, substantially comparable to the information which the issuer would be required to file under Section 12(b) or Section 12(g) of the Securities Exchange Act of 1934, or the...
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34-27-68
Section 34-27-68 Commission may seek injunctive relief, etc., for violation of article; investigation; revocation of registration. (a) If it appears that a person, firm, corporation, or any business entity has engaged, or is about to engage, in an act or practice constituting a violation of a provision of this article or rule or order of the commission, the commission, through the Attorney General, may institute legal actions to enjoin the act or practice and to enforce compliance with this article or any rule or order of the commission or to have a receiver or conservator appointed. To prevail in such action, it shall not be necessary to allege or prove either that an adequate remedy at law does not exist or that substantial or irreparable damage would result from the continued violation thereof. (b) The commission may: (1) Make any public or private investigation which it deems necessary, either within or outside of this state, to determine whether any person has violated or is about...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/34-27-68.htm - 6K - Match Info - Similar pages
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