5-18-10
Section 5-18-10 Examinations of licensees; investigations; enforcement powers of supervisor.
(a) Annual examinations of licensees. At least once each year and at such other time as may
be deemed necessary by the Supervisor of the Bureau of Loans, an examination shall be made
of the place of business of each licensee and of the loans, transactions, books, papers, and
records of the licensee so far as they pertain to the business licensed under this chapter.
As cost of examination, the licensee shall pay to the Bureau of Loans the actual cost of each
examination, the amount of which shall be reasonably prescribed under rules and regulations
promulgated by the Superintendent of Banks; provided, however, the cost for each day of examination
by each examiner shall not exceed eight times the average hourly rate for auditing purposes
as charged by three recognized certified public accountancy firms in the City of Montgomery,
Alabama. In addition thereto, the licensee shall pay as per diem the...
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5-19A-8
Section 5-19A-8 Certain acts by pawnbrokers prohibited. A pawnbroker, any clerk, agent, or
employee of a pawnbroker shall not do any of the following: (1) Fail to make an entry of any
material matter in the record book. (2) Make any false entry therein. (3) Falsify, obliterate,
destroy, or remove from the place of business records, books, or accounts relating to the
licensee's pawn transactions. (4) Refuse to allow the supervisor, the appropriate law enforcement
agency, the Attorney General, or any other duly authorized state or federal law enforcement
officer to inspect the pawn records or any pawn goods during the ordinary hours of business
or other acceptable time to both parties. (5) Fail to maintain a record of each pawn transaction
for at least four years. (6) Accept a pledge or purchase property from a person under the
age of 19 years. (7) Make any agreement requiring the personal liability of a pledgor or seller
or waiving any of the provisions of this section or providing for...
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27-34-39
Section 27-34-39 Examinations - Domestic societies. (a) The commissioner, or any person he
may appoint, shall have the power of visitation and examination into the affairs of any domestic
society, and he shall make such examination at least once in every three years. He may employ
assistants for the purpose of such examination, and he, or any person he may appoint, shall
have free access to all books, papers, and documents that relate to the business of the society.
(b) In making any such examination, the commissioner may summon and qualify as witnesses under
oath and examine its officers, agents, and employees or other persons in relation to the affairs,
transactions, and condition of the society. (c) A summary of the report of the commissioner,
and such recommendations or statements of the commissioner as may accompany such report, shall
be read at the first meeting of the board of directors, or corresponding body of the society,
following the receipt thereof and, if directed so to...
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22-21-386
Section 22-21-386 Examination and investigation of corporations by department; power to summon
and examine witnesses; payment of expenses. (a) The Department of Insurance, any agent or
examiner of the department, or any other person appointed by the department shall have the
power of visitation and examination into the affairs, transactions, accounts, business records,
and assets of any such dental service plan corporation, shall have free access to all of the
books, papers, and documents that relate to the business of the corporation, may summon and
qualify witnesses under oath, and may examine its officers, agents, and employees or other
relative persons regarding the affairs, transactions, and condition of the corporation. The
corporation whose affairs are examined shall pay to the department for deposit into the State
Treasury the traveling expenses and any other expenses of the examiner or other person making
the examination which shall be credited as provided by Section...
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8-33-11
Section 8-33-11 Enforcement provisions. (a) The commissioner may conduct examinations of warrantors,
administrators, or other persons to enforce this chapter and protect warranty holders in this
state. Upon request of the commissioner, a warrantor shall make available to the commissioner
all accounts, books, and records concerning vehicle protection products sold by the warrantor
that are necessary to enable the commissioner to reasonably determine compliance or noncompliance
with this chapter. (b) The commissioner may take action that is necessary or appropriate to
enforce this chapter, the commissioner's rules and orders, and to protect warranty holders
in this state. If a warrantor engages in a pattern or practice of conduct that violates this
chapter and that the commissioner reasonably believes threatens to render the warrantor insolvent
or cause irreparable loss or injury to the property or business of any person or company located
in this state, the commissioner may do any of...
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2-17-34
Section 2-17-34 Making, etc., of false statements or entries in reports, accounts, etc.; mutilation,
alteration, etc., of documentary evidence, etc. Any person, firm or corporation that shall
willfully make or cause to be made any false entry or statement of fact in any report required
to be made under this chapter, or that shall willfully make or cause to be made any false
entry in any account, record or memorandum kept by any person, firm or corporation subject
to this chapter or that shall willfully neglect or fail to make or to cause to be made full,
true and correct entries in such accounts, records or memoranda of all facts and transactions
appertaining to the business of such person, firm or corporation or that shall willfully remove
out of the jurisdiction of this state or willfully mutilate, alter or by any other means falsify
any documentary evidence of any such person, firm or corporation or that shall willfully refuse
to submit to the commissioner or to any of his...
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40-2-41
Section 40-2-41 Appointment; term of office; qualifications. The Commissioner of Revenue shall
be appointed by the Governor and shall hold office at the pleasure of the Governor. He shall
be a qualified elector and known to possess high character and knowledge of the general subject
of taxation and matters pertaining thereto. He shall not hold another office under the government
of the United States or under any other state or of this state, or any political subdivision
thereof, during his incumbency in such office and shall not hold any position of trust or
profit or engage in any occupation or business the conduct of which shall interfere or be
inconsistent with the duties he assumes as Commissioner of Revenue under the provisions of
this title; provided, that no one shall be eligible to serve as Commissioner of Revenue while
employed by or financially interested in any public service corporation, nor unless he shall
have been a citizen of Alabama for a period of five years and shall...
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27-30-11
Section 27-30-11 Certificate of authority - Suspension or revocation - Grounds. (a) The commissioner
shall suspend or revoke the certificate of authority of a mutual aid association if he finds,
upon examination or other evidence, that any one or more of the following grounds exist: (1)
For any cause for which he could have refused to issue the certificate of authority under
this chapter had it then existed and been known to the commissioner; (2) If the association
is in unsound condition or is in such condition or is using such methods and practices in
the conduct of its business as to render its further transactions of insurance in this state
hazardous to its members, policyholders, dependents, beneficiaries, or to the public; (3)
If the association has refused to be examined or to produce its accounts, records, and files
for examination or if any of its officers or agents have refused to perform any legal obligation
relative thereto or have willfully refused to give information with...
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27-7-5
Section 27-7-5 Licenses - Qualifications. (a) An individual applying for a resident insurance
producer license shall make application to the commissioner on the Uniform Application, and
an individual applying for a service representative license shall make application to the
commissioner on the application prescribed by the commissioner, each declaring under penalty
of refusal, suspension, or revocation of the license that the statements made in the application
are true, correct, and complete to the best of the individual's knowledge and belief. Before
approving the application, the commissioner shall find that the individual has satisfied all
of the following: (1) The individual is at least 18 years of age. (2) The individual has not
committed any act that is a ground for denial, suspension, or revocation set forth in Section
27-7-19. (3) The individual has completed a prelicensing course of study for the lines of
authority for which the person has applied, consisting of 20 classroom...
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27-21A-16
Section 27-21A-16 Examination. (a) The commissioner may make an examination of the affairs
of any health maintenance organization and providers with whom such organization has contracts
or agreements as often as is reasonably necessary for the protection of the interests of the
people of this state, but not less frequently than once every three years. (b) The State Health
Officer may make an examination concerning health care service of any health maintenance organization
and providers with whom such organization has contracts, agreements, or other arrangements
as often as is reasonably necessary for the protection of the interests of the people of this
state, but not less frequently than once every three years. (c) Every health maintenance organization
shall submit its relevant books and records for such examinations and in every way facilitate
these examinations. For the purpose of examinations, the commissioner and the State Health
Officer may administer oaths to, and examine the...
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