8-6-92
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. (a) A bank, broker, issuer,
third-party or transfer agent incurs no liability by reason of his treating a minor as having
capacity to transfer a security, to receive or to empower others to receive dividends, interest,
principal, or other payments or distributions, to vote or give consent in person or by proxy,
or to make elections or exercise rights relating to the security unless prior to acting in
the transaction the bank, broker, issuer, third-party or transfer agent had received written
notice in the office acting in the transaction that the specific security is held by a minor.
(b) Except as otherwise provided in this article, such a bank, broker, issuer, third-party
or transfer agent may assume without inquiry that the holder of a security is not a minor.
(Acts 1961, No. 1010, p. 1585, §2.)...
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13A-8-115
Section 13A-8-115 Disclosure of stored wire or electronic communications, transaction records,
etc. (a) A law enforcement officer, a prosecuting attorney, or the Attorney General may require
the disclosure of stored wire or electronic communications, as well as transactional records
and subscriber information pertaining thereto, to the extent and under the procedures and
conditions provided for by the laws of the United States. (b) A provider of electronic communication
service or remote computing service shall provide subscriber information as well as the contents
of, and transactional records pertaining to, wire and electronic communications in its possession
or reasonably accessible thereto when a requesting law enforcement officer, a prosecuting
attorney, or the Attorney General complies with the provisions for access thereto set forth
by the laws of the United States. (c) Warrants or appropriate orders for production of stored
wire or electronic communications and transactional...
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15-23-19
Section 15-23-19 Penalties - Failure of commission member to disclose conflict of interest.
(a) A member, agent or employee of the Alabama Crime Victims Compensation Commission commits
the crime of failing to disclose a conflict of interest if such member, agent or employee
exercises any discretionary function in connection with a commission contract, purchase, payment
or other pecuniary transaction pertaining to the commission without advance public disclosure
of a known potential conflicting interest in the transaction. (b) A "potential conflicting
interest" exists, but is not limited to, when the member, agent or employee of the commission
is a director, president, general manager or similar executive officer, or owns directly or
indirectly a substantial portion of any nongovernmental entity participating in the transaction.
(c) Public disclosure shall mean a public announcement and written notification to the Attorney
General. (d) Failing to disclose a conflict of interest is a...
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16-61-9
Section 16-61-9 Foundation to enter into agreement with university. The respective university
foundation receiving a challenge grant from the Alabama Trust Fund for Eminent Scholars shall
enter into a written agreement with its university to provide from the earnings from its Eminent
Scholars Trust Fund an amount not to exceed said earnings which the university may use as
specified in this chapter in Section 16-61-8(d). (Acts 1985, No. 85-759, p. 1265, §9.)...

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27-33-13
Section 27-33-13 Trusteed assets - Withdrawal. (a) The trust agreement shall provide, in substance,
that no withdrawals of trusteed assets shall be made by the insurer or permitted by the trustee
without the written authorization or approval of the commissioner in advance thereof except
as follows: (1) Any or all income, earnings, dividends, or interest accumulations of the trusteed
assets may be paid over to the United States manager of the insurer upon request of the insurer
or the manager; (2) For substitution, coincidentally with such withdrawal, of other securities
or assets of value at least equal in amount to those being withdrawn, if such substituted
securities or assets are likewise such as are eligible for investment of the funds of like
domestic insurers and if such withdrawal is requested in writing by the insurer's United States
manager pursuant to general or specific written authority previously given or delegated by
the insurer's board of directors, or other similar...
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27-5A-5
Section 27-5A-5 Books and records; reinsurance intermediary-brokers. (a) For at least 10 years
after expiration of each contract of reinsurance transacted by the reinsurance intermediary-broker,
the reinsurance intermediary-broker shall keep a complete record for each transaction showing
all of the following: (1) The type of contract, limits, underwriting restrictions, classes,
or risks and territory. (2) Period of coverage, including effective and expiration dates,
cancellation provisions, and notice required of cancellation. (3) Reporting and settlement
requirements of balances. (4) Rate used to compute the reinsurance premium. (5) Names and
addresses of assuming reinsurers. (6) Rates of all reinsurance commissions, including the
commissions on any retrocessions handled by the reinsurance intermediary-broker. (7) Related
correspondence and memoranda. (8) Proof of placement. (9) Details regarding retrocessions
handled by the reinsurance intermediary-broker including the identity of...
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28-8-8
Section 28-8-8 Unlawful acts and offenses; penalties. (a) Unlawful acts and offenses. It shall
be unlawful: (1) For any manufacturer or importer licensed by the board to sell its brand
or brands of alcoholic beverages in the State of Alabama to any person, except through the
board in the case of spirituous liquor and wine, other than to a licensed wholesaler designated
as the exclusive wholesaler for said brand or brands. (2) For any wholesaler to sell to a
retail licensee any brand of alcoholic beverages in the State of Alabama, except in the sales
territory designated by the manufacturer or importer licensee and set forth in a written territorial
agreement authorizing the sale by such wholesaler licensee of that brand within a designated
territory; provided, however, a licensed wholesaler may, with the approval of the board, service
a territory outside the territory designated to it during periods of temporary service interruptions
when so requested by the manufacturer or importer...
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37-3-15
Section 37-3-15 Licensing and regulation of brokers. (a) No person shall for compensation sell
or offer for sale transportation subject to this chapter or shall make any contract, agreement
or arrangement to provide, procure, furnish or arrange for such transportation or shall hold
himself or itself out by advertisement, solicitation or otherwise as one who sells, provides,
procures, contracts or arranges for such transportation, unless such person holds a broker's
license issued by the commission to engage in such transactions; provided, that no such person
shall engage in transportation subject to this chapter unless he holds a certificate or permit
as provided in this chapter. In the execution of any contract agreement or arrangement to
sell, provide, procure, furnish or arrange for such transportation, it shall be unlawful for
such person to employ any carrier by motor vehicle who or which is not the lawful holder of
an effective certificate or permit issued as provided in this...
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5-18-14
Section 5-18-14 Conduct of other business in office of licensee; loan business confined to
licensed offices; acceptance of liens on real estate as security for loans. (a) Other business
in same office. - No licensee shall conduct the business of making loans under this chapter
within any office, suite, room or place of business in which any other business is solicited
or engaged in or in association or conjunction with any other business until three days' written
notice of an intention so to do has been given the supervisor. Upon receipt of written notification,
the supervisor may investigate the facts and, if he finds that the character of the licensee
and the nature of the other business warrant belief that such conduct of business would conceal
violation or evasion of this chapter or of regulations lawfully made hereunder, he shall enter
an order directing the licensee to discontinue said other business. The order shall be entered
in the manner specified in and subject to the...
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5-19-31
Section 5-19-31 Nonapplicability of chapter to certain transactions; certain laws not repealed
or amended. (a) The provisions of this chapter, except the provisions of subdivision (1) of
Section 5-19-1 and Section 5-19-3, shall not apply (i) to any consumer credit transaction
or other transaction involving an interest in real property or the sale, lease, or mortgage
of an interest in real property where the creditor is exempt from licensing under this chapter,
(ii) where the credit transaction is not a consumer transaction, (iii) where the credit transaction
is by a trust institution as defined in Section 5-12A-1(1), in its capacity as a fiduciary
under any plan or agreement qualified under 26 U.S.C. 401(a) or defined by 5 U.S.C. 8437,
26 U.S.C. 403(b), or 26 U.S.C. 457, or a trust exempt under 26 U.S.C. 501, or (iv) to any
municipal pension system created under the laws of the State of Alabama. The provisions of
this chapter shall not apply where the credit transaction is a policy...
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