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Securities Commission

Local & state government offices in Montgomery, United States
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The Alabama Securities Commission (ASC) regulates the securities industry in Alabama. The Commission is committed to protecting investors against …

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Frequently asked questions

Q:
What is the purpose of an audit or examination?
A:
An examination of a dealer or adviser’s books, records and operations is to ensure the dealer and its agents or investment adviser and its representatives are in compliance with...
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