Alabama Securities Commission

Alabama Securities Commission is a government agency in Montgomery, Alabama, dedicated to protecting investors and preserving legitimate capital markets. We provide robust regulation and enforcement of the securities industry within the state, ensuring a fair and transparent environment for Alabama investors. Our team works diligently to investigate and prosecute securities fraud, offering vital resources and educational materials to promote financial literacy. We are committed to maintaining the integrity of Alabama’s financial landscape.

The Commission’s core functions include licensing and regulating securities broker-dealers, agents, investment advisors, and investment adviser representatives. We actively monitor these entities to safeguard against deceptive practices and uphold the Alabama Securities Act. We also administer the Financial Exploitation Division, focusing on identifying and addressing instances of fraud and misconduct.

Registration Division plays a crucial role in ensuring compliance, overseeing the registration of various securities professionals and firms operating in Alabama. Furthermore, our Auditing Division conducts thorough reviews to maintain the accuracy and reliability of financial reporting. We strive to provide clear and accessible information to empower Alabama citizens to make informed investment decisions.