2-23-4
Section 2-23-4 Requirements as to labeling generally; false or misleading statements on package
labels; delivery slips, etc., prohibited. (a) Agricultural liming materials sold or offered
for sale in this state for use herein or sold for importation into this state for use herein
shall have affixed to each container in a conspicuous manner on the outside thereof a clearly
legible printed or stamped label, tag or statement or, in the case of bulk sales, a delivery
slip, setting forth at least the following information: (1) The name and principal office
of the manufacturer, processor or distributor; (2) The brand name of the material; (3) The
identification of the product as to the type of agricultural liming material, as defined in
subdivisions (2) through (9) of Section 2-23-2; (4) The minimum percent guaranteed by weight
passing through U. S. standard sieves as prescribed by regulations of the board; (5) The minimum
guaranteed calcium carbonate equivalent; (6) The minimum guaranteed...
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27-29-10
Section 27-29-10 Violations and penalties; criminal proceedings. (a) Any insurer failing, without
just cause, to file any registration statement as required in this chapter shall be required,
after notice and hearing, to pay a penalty of up to one thousand dollars ($1,000) for each
day's delay, to be recovered by the commissioner and the penalty so recovered shall be paid
into the state General Fund. The maximum penalty under this section is fifty thousand dollars
($50,000). The commissioner may reduce the penalty if the commissioner, in the commissioner's
sole discretion, determines it is equitable to do so or the insurer demonstrates to the commissioner
that the imposition of the penalty would constitute a financial hardship to the insurer. (b)
Every director or officer of an insurance holding company system who knowingly violates, participates
in, or permits any of the officers or agents of the insurer to engage in transactions or make
investments that have not been properly...
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41-9-85.7
Section 41-9-85.7 Powers of Securities Commission under this division. (a) The Securities Commission,
or any person designated by the Securities Commission, may do any of the following: (1) Make
public or private investigations, within or outside of the state, as deemed necessary to aid
in the enforcement of this division. (2) Require or permit any person to file a statement
in writing, under oath or otherwise, as the Security Commission may determine, as to all facts
and circumstances relating to the matter being investigated. (3) Publish information concerning
a violation of this division. (4) Administer oaths and affirmations, subpoena witnesses, compel
attendance, take evidence, and require the production of any books, papers, correspondence,
memoranda, agreements, or other documents or records, in whatever form they may exist, that
the Securities Commission deems relevant or material to an investigation. (b) If a person
fails to comply with a subpoena issued or refuses to appear,...
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27-29-3.1
Section 27-29-3.1 Acquisition involving change in control of insurer authorized to do business
in Alabama; pre-acquisition notification; violation of competitive standards. (a) The following
definitions shall apply for the purposes of this section only: (1) ACQUISITION. Any agreement
or arrangement the consummation of which results in a person acquiring directly or indirectly
the control of another person, and includes, but is not limited to, the acquisition of voting
securities, the acquisition of assets, bulk reinsurance, and mergers. (2) INVOLVED INSURER.
Includes an insurer which either acquires or is acquired, is affiliated with an acquirer or
acquired, or is the result of a merger. (b)(1) Except as exempted in subdivision (2), this
section applies to any acquisition in which there is a change in control of an insurer authorized
to do business in this state. (2) This section shall not apply to the following: a. A purchase
of securities solely for investment purposes so long as the...
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27-29-7
Section 27-29-7 Confidentiality of documents, materials, or other information; powers of commissioner;
disclosure and sharing of documents, etc. (a) All documents, materials, or other information,
and copies thereof, in the possession or control of the department that are obtained by or
disclosed to the commissioner or any other person in the course of an examination or investigation
made pursuant to Section 27-29-6 and all information reported pursuant to paragraphs l. and
m. of subdivision (l) of subsection (b) of Section 27-29-3, Section 27-29-4, Section 27-29-5,
and Section 27-29-6.2 shall be confidential by law and privileged, shall not be subject to
any open records, freedom of information, sunshine or other public record disclosure laws,
and shall not be subject to subpoena. The commissioner may use the documents, materials, and
other information in the furtherance of any regulatory or legal action in the course of the
commissioner's official duties. The documents, materials,...
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27-5B-7
Section 27-5B-7 Reinsurer maintaining a trust fund. (a) Credit shall be allowed when the reinsurance
is ceded to an assuming insurer that maintains a trust fund in a qualified U.S. financial
institution, as defined in subsection (b) of Section 27-5B-15, for the payment of the valid
claims of its U.S. ceding insurers, their assigns and successors in interest. To enable the
commissioner to determine the sufficiency of the trust fund, the assuming insurer shall report
annually to the commissioner information substantially the same as that required to be reported
on the NAIC Annual Statement form by licensed insurers. The assuming insurer shall submit
to examination of its books and records by the commissioner and bear the expense of examination.
(b)(1) Credit for reinsurance shall not be granted under this section unless the form of the
trust and any amendments to the trust have been approved by either: a. The commissioner of
the state where the trust is domiciled. b. The commissioner of...
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34-9-19
Section 34-9-19 Advertising - Dentist; specialty requirements; practice emphasis; purpose of
section; rules and regulations. (a) For the purpose of this section, the following terms shall
have the respective meanings: (1) ADVERTISEMENT. An advertisement is information communicated
in a manner designed to attract public attention to the practice of a dentist as heretofore
defined. (2) DENTIST. Any person licensed to practice dentistry in this state pursuant to
this chapter or any entity authorized by law which is formed for the purpose of practicing
dentistry. (3) FALSE. A false statement or claim is one which: a. Contains a material misrepresentation
of fact or law. b. Omits a material fact rendering the statement or claim when considered
as a whole false. (b) A dentist shall have ultimate responsibility for all advertisements
which are approved by him or her or his or her agents or associates and the dentist shall
be responsible for the following: (1) Broadcast advertisements shall be...
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40-2A-11.1
Section 40-2A-11.1 Civil penalties for unethical tax preparation conduct. (a) For purposes
of the individual income tax imposed by Chapter 18, if there is an understatement of liability
on a return that would cause a tax return preparer to be subject to the penalties imposed
by 26 U.S.C. §6694, except §6694(c), §6700, or §6701, and if any of the failures enumerated
in 26 U.S.C. §6695, except §6695(e) and (g), occurs, the department may impose upon the
tax return preparer a penalty in accordance with 26 U.S.C. §§6694(a), (b), (d), (e), and
(f); §§6695(a), (b), (c), (d), and (f); §§6696(a) and (c), §6700, and §6701, as in effect
from time to time. (b) For purposes of this section: (1) "Subject to this title"
shall be substituted for references in the specified federal statutes to "imposed by
subtitle A." (2) "Commissioner" will be substituted for references in the specified
federal statutes to "secretary." (3) References in these federal statutes to federal
district courts...
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8-6-15
Section 8-6-15 Investigations and subpoenas by commission. (a) The Securities Commission, in
its discretion, may: (1) Make such public or private investigations within or outside of this
state as he deems necessary to determine whether any registration in the sale of securities
should be granted, denied, or revoked, whether any person has violated or is about to violate
any provision of this article or any rule or order hereunder, to aid in the enforcement of
this article or in the prescribing of rules and forms hereunder; (2) Require or permit any
person to file a statement in writing, under oath, or otherwise as the commission may determine,
as to all the facts and circumstances concerning the matter to be investigated; and (3) Publish
information concerning any violation of this article or any rule or order hereunder. (b) For
the purpose of any investigation or proceeding under this article, the Securities Commission
or any officer designated by it may administer oaths and...
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27-2-26
Section 27-2-26 Witnesses and evidence for examination, investigation or hearing - Generally.
(a) As to the subject of any examination, investigation, or hearing being conducted by him,
the commissioner may subpoena witnesses and administer oaths or affirmations and examine any
individual under oath or take depositions and, by subpoena duces tecum, may require and compel
the production of records, books, files, documents, and other evidence. (b) Witness fees and
mileage, if claimed, shall be allowed the same as for testimony in a circuit court. Witness
fees, mileage, and the actual expense necessarily incurred in securing attendance of witnesses
and their testimony shall be itemized and shall be paid by the person being examined if in
the proceedings in which such witness is called such person is found to have been in violation
of the law or by the person, if other than the commissioner, at whose request the hearing
is held. (c) Subpoenas of witnesses shall be served in the same manner...
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