Alabama Securities Commission

Alabama Securities Commission (ASC) is dedicated to protecting investors and preserving legitimate capital markets in Alabama. The commission regulates the securities industry in the state and takes aggressive enforcement actions against any firm or individual involved in securities fraud or violating state and federal statutes. The Alabama Securities Act governs the licensing and regulation of securities broker-dealers, agents, investment advisers, and representatives, and financial planners, with all entities required to be registered with the ASC to conduct business in Alabama unless exempt. Moreover, the ASC promotes financial literacy by providing presentations, free information, and access to curricula for financial literacy education for citizens and students. Individuals are encouraged to contact the Alabama Securities Commission to ensure the proper registration of the representatives and firms they wish to do business with and obtain free information related to their disciplinary history, educational background, and work experience.