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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,...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/41-9-85.7.htm - 1K - Match Info - Similar pages
41-9-80.8
Section 41-9-80.8 THIS SECTION WAS ASSIGNED BY THE CODE COMMISSIONER IN THE 2019
REGULAR SESSION, EFFECTIVE JUNE 10, 2019. THIS IS NOT IN THE CURRENT CODE SUPPLEMENT. (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...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/41-9-80.8.htm - 1K - Match Info - Similar pages
22-22-9
Section 22-22-9 Powers and duties; enforcement of orders; permits; civil penalties for
violations. (a) It shall be the duty of the commission to control pollution in the waters
of the state, and it shall specifically have the following powers: (1) To study and investigate
all problems concerned with the improvement and conservation of the waters of the state; (2)
To conduct, independently and in cooperation with others, studies, investigation and research
and to prepare, or in cooperation with others prepare, a program or programs, any or all of
which shall pertain to the purity and conservation of the waters of the state or to the treatment
and disposal of pollutants or other wastes, which studies, investigations, research and program
or programs shall be intended to result in the reduction of pollution of the waters of the
state according to the conditions and particular circumstances existing in the various communities
throughout the state; and (3) To propose remedial measures...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/22-22-9.htm - 16K - Match Info - Similar pages
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...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/8-6-15.htm - 2K - Match Info - Similar pages
27-61-1
Section 27-61-1 Surplus Lines Insurance Multi-State Compliance Compact. The Surplus
Lines Insurance Multi-State Compliance Compact Act is enacted into law and entered into with
all jurisdictions mutually adopting the compact in the form substantially as follows: PREAMBLE
WHEREAS, with regard to Non-Admitted Insurance policies with risk exposures located in multiple
states, the 111th United States Congress has stipulated in Title V, Subtitle B, the Non-Admitted
and Reinsurance Reform Act of 2010, of the Dodd-Frank Wall Street Reform and Consumer Protection
Act, hereafter, the NRRA, that: (A) The placement of Non-Admitted Insurance shall be subject
to the statutory and regulatory requirements solely of the insured's Home State, and (B) Any
law, regulation, provision, or action of any State that applies or purports to apply to Non-Admitted
Insurance sold to, solicited by, or negotiated with an insured whose Home State is another
State shall be preempted with respect to such application;...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/27-61-1.htm - 62K - Match Info - Similar pages
8-7A-23
Section 8-7A-23 Investigation and subpoenas by commission. (a) The commission may do
any of the following: (1) Make such public or private investigations within or outside of
this state as it deems necessary to determine whether: Any license under this chapter should
be granted, denied, suspended, or revoked; any person has violated or is about to violate
any provision of this chapter or any rule or order hereunder; or to aid in the enforcement
of this chapter 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.
(3) Publish information concerning any violation of this chapter or any rule or order hereunder.
(b) In relation to any investigation or proceeding under this chapter, the commission, or
any officer designated, may administer oaths and affirmations, subpoena witnesses, compel...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/8-7A-23.htm - 2K - Match Info - Similar pages
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
27-9A-17
Section 27-9A-17 Fingerprints. (a) In order to make a determination of license eligibility,
the commissioner may require fingerprints of applicants and to submit the fingerprints and
the fee required to perform the criminal history record checks to the Alabama Department of
Public Safety and the Federal Bureau of Investigation for state and national criminal history
record checks. (b) The commissioner may require a criminal history record check on each applicant
in accordance with this section. The commissioner shall require each applicant to submit
a full set of fingerprints, including a scanned file from a hard copy fingerprint, in order
for the commissioner to obtain and receive national criminal history records from the Criminal
Justice Information Services Division of the Federal Bureau of Investigation. In the case
of business entity applicants, the commissioner shall require the submission of fingerprints
of all of the following: (1) All executive officers and directors of the...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/27-9A-17.htm - 3K - Match Info - Similar pages
36-25-4
Section 36-25-4 State Ethics Commission - Duties; complaint; investigation; hearings;
fees; finding of violation. (a) The commission shall do all of the following: (1) Prescribe
forms for statements required to be filed by this chapter and make the forms available to
persons required to file such statements. (2) Prepare guidelines setting forth recommended
uniform methods of reporting for use by persons required to file statements required by this
chapter. (3) Accept and file any written information voluntarily supplied that exceeds the
requirements of this chapter. (4) Develop, where practicable, a filing, coding, and cross-indexing
system consistent with the purposes of this chapter. (5) Make reports and statements filed
with the commission available during regular business hours and online via the Internet to
public inquiry subject to such regulations as the commission may prescribe. (6) Preserve reports
and statements for a period consistent with the statute of limitations as...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/36-25-4.htm - 17K - Match Info - Similar pages
33-18-1
Section 33-18-1 Alabama-Coosa-Tallapoosa River Basin Compact. The State of Alabama hereby
agrees to the following interstate compact known as the Alabama-Coosa-Tallapoosa River Basin
Compact: Alabama-Coosa-Tallapoosa River Basin Compact The States of Alabama and Georgia and
the United States of America hereby agree to the following compact which shall become effective
upon enactment of concurrent legislation by each respective state legislature and the Congress
of the United States. Short Title This act shall be known and may be cited as the "Alabama-Coosa-Tallapoosa
River Basin Compact" and shall be referred to hereafter in this document as the "ACT
Compact" or "compact." Article I Compact Purposes This compact among the States
of Alabama and Georgia and the United States of America has been entered into for the purposes
of promoting interstate comity, removing causes of present and future controversies, equitably
apportioning the surface waters of the ACT, engaging in water planning,...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/33-18-1.htm - 33K - Match Info - Similar pages
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