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41-9-80.3
Section 41-9-80.3 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) A person that knowingly
contracts for, pays for, or agrees to pay to a convicted individual profits from the crime
or to the representative of the individual, shall give written notice to the Securities Commission
of the payment or obligation to pay as soon as practicable after discovering that the payment
or intended payment constitutes profits from a crime or funds of a convicted individual. (b)(1)
A superintendent, sheriff, municipal official, or other correctional official shall also give
written notice to the Securities Commission of any payment or obligation to pay subject to
the notice requirements of subsection (a) if he or she receives or will receive funds, the
combined or aggregate value of which exceeds five thousand dollars ($5,000), on behalf of
a convicted individual who is serving a sentence with the...
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8-6-17
Section 8-6-17 Prohibited acts regarding offer, sale, or purchase of securities. (a) It is
unlawful for any person, in connection with the offer, sale, or purchase of any security,
directly or indirectly, to: (1) Employ any device, scheme, or artifice to defraud; (2) Make
any untrue statement of a material fact or to omit to state a material fact necessary in order
to make the statements made, in the light of the circumstances under which they are made,
not misleading; or (3) Engage in any act, practice or course of business which operates or
would operate as a fraud or deceit upon any person. (b) It is unlawful for any person who
receives, directly or indirectly, any consideration from another person for advising the other
person as to the value of securities or their purchase or sale, whether through the issuance
of analyses or reports or otherwise, (1) to employ any device, scheme, or artifice to defraud
the other person, (2) to engage in any act, practice, or course of business...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/8-6-17.htm - 4K - Match Info - Similar pages
37-3-18
Section 37-3-18 Bond or other security. (a) No certificate or permit shall be issued to a motor
carrier or remain in force, and no motor carrier subject to the provisions of this chapter
shall engage in any operation on any highway of this state, unless such carrier complies with
such reasonable rules and regulations as the commission shall prescribe governing the filing
and approval of surety bonds, policies of insurance, qualifications as a self-insurer or other
securities or agreements, in such reasonable amounts as the commission may require, conditioned
to pay, within the amount of such surety bonds, policies of insurance, qualifications as a
self-insurer or other securities or agreements, any final judgment recovered against such
motor carrier for bodily injuries to or the death of any person resulting from the negligent
operation, maintenance or use of motor vehicles under certificate or permit or for loss or
damage to property of others. The commission shall, under such rules...
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7-8-301
Section 7-8-301 Delivery. (a) Delivery of a certificated security to a purchaser occurs when:
(1) the purchaser acquires possession of the security certificate; (2) another person, other
than a securities intermediary, either acquires possession of the security certificate on
behalf of the purchaser or, having previously acquired possession of the certificate, acknowledges
that it holds for the purchaser; or (3) a securities intermediary acting on behalf of the
purchaser acquires possession of the security certificate, only if the certificate is in registered
form and is (i) registered in the name of the purchaser, (ii) payable to the order of the
purchaser, or (iii) specially indorsed to the purchaser by an effective indorsement and has
not been indorsed to the securities intermediary or in blank. (b) Delivery of an uncertificated
security to a purchaser occurs when: (1) the issuer registers the purchaser as the registered
owner, upon original issue or registration of transfer; or (2)...
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8-6-116
Section 8-6-116 Action by director upon receipt of notification; stop orders. Upon receipt
of a notification, the director shall cause a preliminary investigation or inquiry to be made
into the proposed issue to determine whether there exist circumstances which, in his or her
opinion, indicate that the proposed issue of industrial revenue bonds may be an improvident
issue. If he or she finds that the proposed issue may be improvident, he or she shall advise
the issuer of the findings and shall issue a stop order or stop orders requiring that for
a period of time not exceeding in the aggregate 90 days after the filing of the notification,
the issuer shall not issue the industrial revenue bonds proposed in the notification or any
industrial revenue bonds in lieu of the bonds proposed. When a stop order has been served
upon the issuer, it shall be fully effective (a) unless lifted by the director or the commission
for good cause shown, or (b) unless the proposed industrial revenue bonds...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/8-6-116.htm - 1K - Match Info - Similar pages
8-7A-19
Section 8-7A-19 Civil penalties. (a) The commission may assess a civil penalty against a person
that violates this chapter or a rule adopted or an order issued under this chapter in an amount
not to exceed one thousand dollars ($1,000) per day for each day the violation is outstanding.
(b) In addition to the assessment in subsection (a), the commission may assess a charge for
the actual cost of any investigation resulting from any violation of this chapter, a violation
of any rule or order issued under this chapter, or the cost of any examination made by the
commission pursuant to this chapter, to the person or persons subject to such investigation
or examination. All assessments collected under this subsection shall be deposited in the
Alabama Securities Commission Fund in the State Treasury to be drawn upon by the commission
for its use in administration of this chapter. (Act 2017-389, §2.)...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/8-7A-19.htm - 1K - Match Info - Similar pages
10A-2-13.01
Section 10A-2-13.01 Definitions. REPEALED IN THE 2019 REGULAR SESSION BY ACT 2019-94 EFFECTIVE
JANUARY 1, 2020. THIS IS NOT IN THE CURRENT CODE SUPPLEMENT. (1) "Corporate action"
means the filing of articles of merger or share exchange by the judge of probate or Secretary
of State, or other action giving legal effect to a transaction that is the subject of dissenters'
rights. (2) "Corporation" means the issuer of shares held by a dissenter before
the corporate action, or the surviving or acquiring corporation by merger or share exchange
of that issuer. (3) "Dissenter" means a shareholder who is entitled to dissent from
corporate action under Section 10A-2-13.02 and who exercises that right when and in the manner
required by Sections 10A-2-13.20 through 10A-2-13.28. (4) "Fair Value," with respect
to a dissenter's shares, means the value of the shares immediately before the effectuation
of the corporate action to which the dissenter objects, excluding any appreciation or depreciation
in...
alisondb.legislature.state.al.us/alison/CodeOfAlabama/1975/10A-2-13.01.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...
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37-1-122
Section 37-1-122 Time for appeal; how appeal perfected. All appeals shall be taken within 30
days from the date of such action or order and shall be granted as a matter of right and be
deemed perfected by filing with the Public Service Commission a bond for security of cost
of said appeal, when the appellant is a utility or person, and by filing notice of an appeal
when the appellant is the State of Alabama. (Code 1907, §9832; Acts 1909, No. 42, p. 96;
Code 1923, §9831; Acts 1932, Ex. Sess., No. 232, p. 233; Code 1940, T. 48, §79.)...
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41-10-37
Section 41-10-37 Allocation procedure. Allocations of the state ceiling shall be granted by
the authority in response to applications filed with the authority by any issuer in the following
manner: (1) Each application shall be made by an instrument in writing signed by an officer
or agent of the issuer and shall contain (i) the names and addresses of the issuer, the proposed
lessee, purchaser or user of the project to be financed (if applicable), and bond counsel,
(ii) the maximum principal amount of affected bonds proposed to be issued, (iii) a brief description
of the project to be financed, and (iv) a brief description of the affected bonds proposed
to be issued, identifying such bonds as "Exempt Facility Bonds," "Qualified
Mortgage Bonds", "Qualified Small Issue Bonds" (and if "Qualified Small
Issue Bonds," further indicating whether the project to be financed constitutes a "Manufacturing
Facility"), "Qualified Student Loan Bonds," or "Qualified Redevelopment
Bonds." In addition,...
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