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8-6-118
Section 8-6-118 Proceedings before Securities Commission. When the matter of any proposed industrial
revenue bond issue has been appealed by the issuer to the commission or referred to the commission
by the director with the request that the commission issue a permanent stop order, the director
shall convene the commission. The commission shall conduct a hearing on the matter within
14 days after receipt by the director of the notice of appeal or service upon the issuer of
the referral. At the request of the issuer, the date of the hearing may be postponed. Notice
of the time, place, and purpose of the hearing shall be served upon the issuer at least three
days before the date of the hearing. The issuer and other interested parties shall have the
right to appear and be heard in person or by counsel. The commission shall render a decision
within three days after the hearing. Pending the determination by the commission of any appeal
or referral, the stop order previously issued by the...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/8-6-118.htm - 2K - Match Info - Similar pages
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
7-8-107
Section 7-8-107 Whether indorsement, instruction, or entitlement order is effective. (a) "Appropriate
person" means: (1) with respect to an indorsement, the person specified by a security
certificate or by an effective special indorsement to be entitled to the security; (2) with
respect to an instruction, the registered owner of an uncertificated security; (3) with respect
to an entitlement order, the entitlement holder; (4) if the person designated in paragraph
(1), (2), or (3) is deceased, the designated person's successor taking under other law or
the designated person's personal representative acting for the estate of the decedent; or
(5) if the person designated in paragraph (1), (2), or (3) lacks capacity, the designated
person's guardian, conservator, or other similar representative who has power under other
law to transfer the security or financial asset. (b) An indorsement, instruction, or entitlement
order is effective if: (1) it is made by the appropriate person; (2) it is...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/7-8-107.htm - 2K - Match Info - Similar pages
8-6-29
Section 8-6-29 Interpretative opinions by commission. (a) The Securities Commission, in its
discretion, may honor requests from interested persons for interpretative opinions and no-action
letters. (b) Any person who makes application to the Securities Commission for an interpretative
opinion or no-action letter shall be assessed a non-refundable filing fee of $150 upon application
for such opinion or letter. Fees collected under this section shall be deposited in the Alabama
Securities Commission Fund in the State Treasury to be drawn upon by the commission for its
use in the administration of this article. (Acts 1959, No. 542, p. 1318, §20; Acts 1990,
No. 90-527, p. 772, §1.)...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/8-6-29.htm - 1006 bytes - 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
41-9-80.6
Section 41-9-80.6 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,
acting on behalf of a victim of a crime, may apply for any and all provisional remedies that
are also otherwise available to the victim. (b) The provisional remedies of attachment, injunction,
receivership, and notice of pendency available to the victim of the crime under existing law
and the Alabama Rules of Civil Procedure shall also be available to the Securities Commission
in all actions under this division. (c) Upon the filing of a motion for a provisional remedy,
the moving party shall state whether any other provisional remedy has previously been sought
in the same action against the same defendant. The court may require the moving party to elect
between those remedies to which it would otherwise be entitled. (Act 2019-538, §2.)...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/41-9-80.6.htm - 1K - Match Info - Similar pages
10A-9A-2.04
Section 10A-9A-2.04 Signing and filing pursuant to judicial order. (a) If a person required
by this chapter to sign a writing or deliver a writing to the Secretary of State for filing
under this chapter does not do so, any other person that is aggrieved by that failure may
petition the designated court, and if none, the circuit court for the county in which the
limited partnership's principal office within this state is located, and if the limited partnership
does not have a principal office within this state then the circuit court for the county in
which the limited partnership's most recent registered office is located, to order: (1) the
person to sign the writing; (2) the person to deliver the writing to the Secretary of State
for filing; or (3) the Secretary of State to file the writing unsigned. (b) If a petitioner
under subsection (a) is not the limited partnership or foreign limited partnership to whom
the writing pertains, the petitioner shall make the limited partnership or...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/10A-9A-2.04.htm - 2K - Match Info - Similar pages
5-19A-14
Section 5-19A-14 Application for new pawnshop license, transfer of existing license, etc. (a)
An application for a new pawnshop license, the transfer of an existing pawnshop license, or
the approval of a change in the ownership of a licensed pawnshop shall be under oath and shall
state the full name and place of residence of the applicant, the place where the business
is to be conducted, and other relevant information required by the supervisor. If the applicant
is a partnership, the application shall state the full name and address of each partner. If
the applicant is a corporation, the application shall state the full name and address of each
officer, shareholder, and director. (b) Notwithstanding the foregoing, the application need
not state the full name and address of each shareholder, if the applicant is owned directly
or beneficially by a person which as an issuer has a class of securities registered pursuant
to Section 12 of the Securities Exchange Act of 1934, or pursuant to...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/5-19A-14.htm - 1K - Match Info - Similar pages
5-2A-12
Section 5-2A-12 Superintendent - Order to correct unsafe and unsound matters; penalties; procedure.
(a) For purposes of this section, a bank holding company is a holding company organized under
the laws of Alabama or another state in the United States that directly owns a majority of
the voting securities of an Alabama state bank. (b) The superintendent may order a bank, a
bank holding company, the board of directors, any director or directors, and any officer or
officers of any bank or bank holding company, individually or collectively (hereafter affected
person, whether one or more) to correct any matters in the conduct of the affairs of the bank
which in the opinion of the superintendent are unsafe and unsound. The Banking Board, after
at least 20 days' written notice by the superintendent to the bank and any affected person,
and a hearing before the Banking Board, may direct the superintendent to issue an order that
imposes civil money penalties on the bank or bank holding company...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/5-2A-12.htm - 4K - Match Info - Similar pages
10A-9A-2.01
Section 10A-9A-2.01 Formation of limited partnership; certificate of formation. (a) In order
to form a limited partnership, a person must deliver a certificate of formation for filing
to the Secretary of State. Notwithstanding Section 10A-1-3.05, the certificate of formation
shall set forth: (1) the name of the limited partnership, which must comply with Article 5
of Chapter 1; (2) the address of the registered office required by Article 5 of Chapter 1;
(3) the name of the registered agent at the registered office as required by Article 5 of
Chapter 1; (4) the name and the street and mailing address of each general partner; (5) whether
the limited partnership is a limited liability limited partnership; (6) any additional information
required by Article 8 of Chapter 1 or by Article 10 of this chapter; and (7) any other matters
the partners determine to include therein which comply with Section 10A-9A-1.08. (b) A limited
partnership is formed when the certificate of formation becomes...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/10A-9A-2.01.htm - 2K - Match Info - Similar pages
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