8-6-4
Section 8-6-4 Registration of securities - Required; exceptions. It is unlawful for any person
to offer or sell any security in this state unless: (1) It is registered under this article;
(2) The security is exempt from registration under Section 8-6-10; or (3) The transaction
is exempt under Section 8-6-11. (Acts 1959, No. 542, p. 1318, §3; Acts 1990, No. 90-527,
p. 772, §1.)...
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15-27-14
Section 15-27-14 Applicability - Alabama Securities Commission. Nothing in this chapter shall
be applicable to the Alabama Securities Commission, its statutes, rules, regulations, policies,
information repository, or records, nor shall any expungement information, record, document,
whether printed, electronic, or otherwise, or file which is expunged under this chapter be
considered nondisclosable or nonreportable to or by the Alabama Securities Commission. Any
requirement for licensing or registration which includes information that has been otherwise
expunged under this chapter shall remain reportable as required by the Alabama Securities
Commission, applicable federal law, or adopted rules and regulations or as required by any
securities-related self-regulatory organization rules, policies, or procedures. (Act 2014-292,
p. 1043, §14.)...
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22-1-11
Section 22-1-11 Making false statement or representation of material fact in claim or application
for payments on medical benefits from Medicaid Agency generally; kickbacks, bribes, etc.;
exceptions; multiple offenses. (a) Any person who, with intent to defraud or deceive, makes,
or causes to be made or assists in the preparation of any false statement, representation,
or omission of a material fact in any claim or application for any payment, regardless of
amount, from the Medicaid Agency, knowing the same to be false; or with intent to defraud
or deceive, makes, or causes to be made, or assists in the preparation of any false statement,
representation, or omission of a material fact in any claim or application for medical benefits
from the Medicaid Agency, knowing the same to be false; shall be guilty of a Class C felony.
The offense set out herein shall not be complete until the claim or application is received
by the Medicaid Agency or the contractor with the Medicaid Agency or its...
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8-6-12
Section 8-6-12 Registration of securities - Applicability of provisions of article; consent
to service of process on Secretary of State. (a) The provisions of this article shall apply
to persons who sell or offer to sell when (1) an offer to sell is made in this state, or (2)
an offer to buy is made and accepted in this state. (b) The provisions of this article shall
apply to persons who buy or offer to buy when (1) an offer to buy is made in this state, or
(2) an offer to sell is made and accepted in this state. (c) An offer to sell or to buy is
made in this state, whether or not either party is then present in this state, when the offer
(1) originates from this state, or (2) is directed by the offeror to this state and received
at the place to which it is directed (or at any post office in this state in the case of a
mailed offer). (d) An offer to buy or to sell is accepted in this state when acceptance (1)
is communicated to the offeror in this state, and (2) has not previously been...
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34-27A-51
Section 34-27A-51 Application; certificate of registration. (a) Application for registration
under this article shall be made in writing to the board on forms prescribed by the board
and shall include all of the following: (1) The name of the applicant. (2) The business, physical,
and email address of the applicant. (3) A telephone number and other contact information for
the applicant. (4) If the applicant is a not an Alabama domestic corporation, the name and
contact information for the registered agent of the applicant for service of process in this
state. (5) The name, address, and contact information of a principal contact for the applicant.
(6) Certification that the applicant verifies that any person added to an appraiser panel
of the applicant, for the purpose of appraising property within the state, holds a license
in good standing in this state pursuant to Article 1. (7) Certification that the applicant
requires that all appraisers shall have geographic competency to perform...
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8-6-27
Section 8-6-27 Commission to keep register; register to be open for public inspection. The
Securities Commission shall keep a register of all applications for registration and registration
statements which are or have ever been effective under this article and all denial, suspension,
or revocation orders which have ever been entered under this article. The register shall be
open for public inspection. The information contained in or filed with any registration statement,
application, or report may be made available to the public under such rules as the commission
prescribes. (Acts 1959, No. 542, p. 1318, §20; Acts 1990, No. 90-527, p. 772, §1.)...
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5-26-4
Section 5-26-4 License and registration required. (1) In general. An individual, unless specifically
exempted from this chapter under subsection (2), shall not engage in the business of a mortgage
loan originator with respect to any dwelling located in this state without first obtaining
and maintaining annually a license under this chapter. Each licensed mortgage loan originator
must register with and maintain a valid unique identifier issued by the Nationwide Mortgage
Licensing System and Registry. (2) Exemption from this chapter. The following are exempt from
and are not subject to this chapter: (a) Registered mortgage loan originators, loan processors,
loss mitigation specialists, and other employees when acting for an entity described in Section
5-26-3(11)(a)(i),(ii), or (iii) are exempt from this chapter. (b) Any individual who offers
or negotiates terms of a residential mortgage loan with or on behalf of an immediate family
member of the individual. (c) Any individual who offers...
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25-4-145
Section 25-4-145 Penalties; limitation of actions; collection of overpayments; waiver of overpayments.
(a) Penalties. (1) Whoever willfully makes a false statement or representation or who willfully
fails to disclose a material fact to obtain or increase any benefit or payment under this
chapter, or under an unemployment insurance law of any other state or government, either for
himself or herself or for any other person, whether such benefit or payment is actually received
or not, shall be guilty of an offense as follows and each such false statement or representation
shall constitute a separate and distinct offense: a. If the aggregate amount involved in the
offense exceeds two thousand five hundred dollars ($2,500) in value, that shall constitute
a Class B felony. b. If the aggregate amount involved in the offense exceeds five hundred
dollars ($500) but does not exceed two thousand five hundred dollars ($2,500), that shall
constitute a Class C felony. c. If the aggregate amount...
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34-37-12
Section 34-37-12 Revocation of certificates. The board may revoke or suspend any certificate
or registration if obtained through concealment, misstatement, or misrepresentation of any
material fact in the application for such certificate. The board may discipline any person
as defined in Section 34-37-1 for a violation of any law or ordinance pertaining to the business
of the holder and may impose fines, administrative fees, or penalties not to exceed two thousand
dollars $2,000 for each violation. The board may also order restitution. Before a certificate
or registration may be suspended or revoked, the holder thereof shall have notice in writing,
enumerating the charges against him or her, and be entitled to a hearing by the board not
sooner than five days from receipt of notice. The holder of such certificate or registration
shall be given an opportunity to present testimony, oral or written, and right of cross-examination
and representation by counsel. All testimony shall be given...
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13A-2-6
Section 13A-2-6 Effect of ignorance or mistake upon liability. (a) A person is not relieved
of criminal liability for conduct because he engages in that conduct under a mistaken belief
of fact unless: (1) His factual mistake negatives the culpable mental state required for the
commission of an offense; or (2) The statute defining the offense or a statute related thereto
expressly provides that such a factual mistake constitutes a defense or exemption; or (3)
The factual mistake is of a kind that supports a defense of justification as defined in Article
2 of Chapter 3 of this title. (b) A person is not relieved of criminal liability for conduct
because he engages in that conduct under a mistaken belief that it does not, as a matter of
law, constitute an offense, unless his mistaken belief is founded upon an official statement
of the law contained in a statute or the latest judicial decision of the highest state or
federal court which has decided on the matter. (c) The burden of...
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